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Alphatec Holdings, Inc. — Director's Dealing 2018
May 21, 2018
31614_dirs_2018-05-21_3af0a6da-5c36-4807-a477-e3741cd8dfe7.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Alphatec Holdings, Inc. (ATEC)
CIK: 0001350653
Period of Report: 2018-05-17
Reporting Person: L-5 Healthcare Partners, LLC (10% Owner, Director by deputization)
Reporting Person: Segal Paul (10% Owner, Director by deputization)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-17 | Common Stock | C | 7936508 | — | Acquired | 7936508 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-17 | Series B Convertible Preferred Stock | $ | C | 25000 | Disposed | Common Stock (7936508) | Direct |
Footnotes
F1: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.
F2: Each of Jason Hochberg and Evan Bakst serve on the board of directors of the issuer as a representative of the reporting persons. As a result, each reporting person herein may be deemed a director by deputization for the purposes of Section 16 of the Exchange Act.
F3: Paul Segal directly (through his position as manager of L-5 Healthcare Partners, LLC ("L-5")) may be deemed to control L-5 and to have shared voting and investment power with respect to the shares beneficially owned by L-5. As such, Mr. Segal may be deemed to have shared beneficial ownership of the shares beneficially owned by L-5. Mr. Segal, however, disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest therein.