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ATEC Alphatec Holdings Inc

13.21
0.24 (1.85%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Alphatec Holdings Inc NASDAQ:ATEC NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.24 1.85% 13.21 13.21 13.71 13.265 12.79 13.18 1,281,985 01:00:00

Initial Statement of Beneficial Ownership (3)

16/03/2018 10:06pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

L-5 Healthcare Partners, LLC

2. Date of Event Requiring Statement (MM/DD/YYYY)
3/8/2018 

3. Issuer Name and Ticker or Trading Symbol

Alphatec Holdings, Inc. [ATEC]

(Last)        (First)        (Middle)

C/O LS POWER DEVELOPMENT, LLC, 1700 BROADWAY, 35TH FLOOR

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          ___ X ___ Other (specify below)
/ Director by deputization

(Street)

NEW YORK, NY 10019       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series B Convertible Preferred Stock     (1)   (1) Common Stock   7936508   $0   D   (3) (4)  
Warrants (right to buy)     (2)   (2) Common Stock   6746032   $3.50   D   (3) (4)  

Explanation of Responses:
(1)  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.
(2)  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.
(3)  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.
(4)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
L-5 Healthcare Partners, LLC
C/O LS POWER DEVELOPMENT, LLC
1700 BROADWAY, 35TH FLOOR
NEW YORK, NY 10019

X
Director by deputization
Segal Paul
C/O LS POWER DEVELOPMENT, LLC
1700 BROADWAY, 35TH FLOOR
NEW YORK, NY 10019

X
Director by deputization

Signatures
/s/ Paul Segal 3/16/2018
** Signature of Reporting Person Date

/s/ Paul Segal 3/16/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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