Alphatec Holdings, Inc. — Director's Dealing 2018

Mar 16, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Alphatec Holdings, Inc. (ATEC)
CIK: 0001350653
Period of Report: 2018-03-08

Reporting Person: L-5 Healthcare Partners, LLC (10% Owner, Director by deputization)
Reporting Person: Segal Paul (10% Owner, Director by deputization)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series B Convertible Preferred Stock	$0		Common Stock (7936508)		Direct
Warrants (right to buy)	$3.50		Common Stock (6746032)		Direct

Footnotes

F1: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F2: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F3: Each of Jason Hochberg and Evan Bakst serve on the board of directors of the issuer as arepresentative 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.

F4: 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.