0001567619-22-019629.txt : 20221110 0001567619-22-019629.hdr.sgml : 20221110 20221110213036 ACCESSION NUMBER: 0001567619-22-019629 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221109 FILED AS OF DATE: 20221110 DATE AS OF CHANGE: 20221110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Segal Paul CENTRAL INDEX KEY: 0001427470 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52024 FILM NUMBER: 221379364 MAIL ADDRESS: STREET 1: 1700 BROADWAY STREET 2: 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: L-5 Healthcare Partners, LLC CENTRAL INDEX KEY: 0001733085 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52024 FILM NUMBER: 221379365 BUSINESS ADDRESS: STREET 1: 1700 BROADWAY STREET 2: 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-547-2914 MAIL ADDRESS: STREET 1: 1700 BROADWAY STREET 2: 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alphatec Holdings, Inc. CENTRAL INDEX KEY: 0001350653 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 202463898 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 760-431-9286 MAIL ADDRESS: STREET 1: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 4 1 doc1.xml FORM 4 X0306 4 2022-11-09 0 0001350653 Alphatec Holdings, Inc. ATEC 0001733085 L-5 Healthcare Partners, LLC C/O LS POWER DEVELOPMENT, LLC 1700 BROADWAY, 35TH FLOOR NEW YORK NY 10019 0 0 1 1 Director by deputization 0001427470 Segal Paul C/O LS POWER DEVELOPMENT, LLC 1700 BROADWAY, 35TH FLOOR NEW YORK NY 10019 0 0 1 1 Director by deputization Common Stock 2022-11-09 4 M 0 1000000 3.50 A 9242761 D Common Stock 2022-11-09 4 F 0 375790 9.31 D 8866971 D Warrants to Purchase Common Stock 3.50 2022-11-09 4 X 0 1000000 0 D 2018-05-17 2023-05-17 Common Stock 1000000 5346032 D Each of Andy Barnett 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. 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. Represents a "cashless exercise" of outstanding warrants. The reporting person received 624,210 shares of Common Stock on cashless exercise of warrants to purchase 1,000,000 shares of Common Stock. The Company withheld 375,790 shares of Common Stock underlying the warrants for payment of the exercise price, using the VWAP on November 8, 2022 of approximately $9.31, pursuant to the terms of the warrant. Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer. L-5 Healthcare Partners, LLC, /s/ Paul Segal 2022-11-10 /s/ Paul Segal 2022-11-10