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Berkowitz Mortimer III – ‘4’ for 10/27/17 re: Alphatec Holdings, Inc.

On:  Tuesday, 10/31/17, at 12:31pm ET   ·   For:  10/27/17   ·   Accession #:  1179110-17-13566   ·   File #:  0-52024

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

10/31/17  Berkowitz Mortimer III            4                      1:10K  Alphatec Holdings, Inc.           Section16 Direct/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- edgar.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  10/27/17
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1350653
Issuer Name:  Alphatec Holdings, Inc.
Issuer Trading Symbol:  ATEC
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1364333
Owner Name:  Berkowitz Mortimer III
Reporting Owner Address:
Owner Street 1:  C/O ALPHATEC SPINE, INC.
Owner Street 2:  5818 EL CAMINO REAL
Owner City:  CARLSBAD
Owner State:  CA
Owner ZIP Code:  92008
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  Yes
Is Other?  No
Officer Title:
Other Text:
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  10/27/17
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  200,000
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  200,933
Footnote ID:  F1
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  10/27/17
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  200,000
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  200,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held By Porcupine Investment Partners, LLC
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  898,098
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held By HealthpointCapital Partners, L.P.
Footnote ID:  F2
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,750,880
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held By HealthpointCapital Partners II, L.P.
Footnote ID:  F2
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Series A Convertible Preferred Stock
Conversion or Exercise Price:
Value:  0.00
Transaction Date:
Value:  10/27/17
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  400
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F3
Expiration Date:
Footnote ID:  F3
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  200,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Series A Convertible Preferred Stock
Conversion or Exercise Price:
Value:  0.00
Transaction Date:
Value:  10/27/17
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  400
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F3
Expiration Date:
Footnote ID:  F3
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  200,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held By Porcupine Investment Partners, LLC
Footnotes:
Footnote - F1:  Includes shares owned by Reporting Person and shares owned by Reporting Person's spouse.
Footnote - F2:  Reporting Person is a managing member of HGP, LLC, which is the general partner of HealthpointCapital Partners, L.P. In addition, Reporting Person is a managing member of HGP II, LLC, which is the general partner of HealthpointCapital Partners II, L.P. Reporting Person may be deemed to beneficially own the securities held by HealthpointCapital Partners, L.P. and HealthpointCapital Partners II, L.P. Accordingly, Reporting Person disclaims beneficial ownership of such shares except as to the extent of his pecuniary interest in such shares.
Footnote - F3:  Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.
Owner Signature:
Signature Name:  /s/ Mortimer Berkowitz III
Signature Date:  10/31/17


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Filing Submission 0001179110-17-013566   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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