0001567619-22-020632.txt : 20221118
0001567619-22-020632.hdr.sgml : 20221118
20221118172041
ACCESSION NUMBER: 0001567619-22-020632
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221117
FILED AS OF DATE: 20221118
DATE AS OF CHANGE: 20221118
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: 221402869
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: 221402870
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
2022-11-17
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
2022-11-17
4
M
0
1000000
3.50
A
9866970
D
Common Stock
2022-11-17
4
F
0
336625
10.40
D
9530345
D
Warrants to Purchase Common Stock
3.50
2022-11-17
4
X
0
1000000
0
D
2018-05-17
2023-05-17
Common Stock
1000000
4346032
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 663,375 shares of Common Stock on cashless exercise of warrants to purchase 1,000,000 shares of Common Stock. The Company withheld 336,625 shares of Common Stock underlying the warrants for payment of the exercise price, using the VWAP on November 16, 2022 of approximately $10.40, 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, Manager
2022-11-18
/s/ Paul Segal
2022-11-18