Berkowitz Mortimer III 4
4 · Alphatec Holdings, Inc. · Filed May 21, 2018
Insider Transaction Report
Form 4
Berkowitz Mortimer III
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2018-05-17+126,985→ 327,918 total - Exercise/Conversion
Series B Convertible Preferred Stock
2018-05-17−400→ 0 total→ Common Stock (126,985 underlying) - Exercise/Conversion
Series B Convertible Preferred Stock
2018-05-17−400→ 0 total(indirect: By LLC)→ Common Stock (126,985 underlying) - Exercise/Conversion
Common Stock
2018-05-17+126,985→ 326,985 total(indirect: By LLC)
Holdings
- 898,098(indirect: By HealthpointCapital Partners, L.P.)
Common Stock
- 1,750,880(indirect: By HealthpointCapital Partners II, L.P.)
Common Stock
Footnotes (3)
- [F1]Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.
- [F2]Includes shares owned by Reporting Person and shares owned by Reporting Person's spouse.
- [F3]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. As such, Reporting Person may be deemed to beneficially own the securities held by HealthpointCapital Partners, L.P. and HealthpointCapital Partners II, L.P. Reporting Person, however, disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest therein.