Alphatec Spine, Inc.
Alphatec Holdings, Inc. (Form: 4, Received: 03/31/2017 16:41:22)
FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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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 *

Black Jeffrey G.
2. Issuer Name and Ticker or Trading Symbol

Alphatec Holdings, Inc. [ ATEC ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Executive VP & CFO
(Last)          (First)          (Middle)

C/O ALPHATEC SPINE, INC., 5818 EL CAMINO REAL
3. Date of Earliest Transaction (MM/DD/YYYY)

3/29/2017
(Street)

SAN DIEGO, CA 92130
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock - Restricted Stock Units   (1) 3/31/2017     A    75000   (2) A $0.00   75000   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Convertible Preferred Stock   $2.00   3/29/2017     A      50         (3)   (3) Common Stock   25000   $1000.00   50   I   by IRA  
Warrants (right to buy)   $2.00   3/29/2017     A      25000         (4)   (4) Common Stock   25000   $0.00   25000   I   by IRA  

Explanation of Responses:
( 1)  The restricted stock units ("RSUs") vest annually within 25% vesting on the anniversary of the grant date, and 25% vesting each anniversary thereafter.
( 2)  Each RSU represents a contingent right to receive one share of the issuer's common stock.
( 3)  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 that date that shareholder approval is obtained.
( 4)  Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Black Jeffrey G.
C/O ALPHATEC SPINE, INC.
5818 EL CAMINO REAL
SAN DIEGO, CA 92130


Executive VP & CFO

Signatures
/s/ Jeffrey G Black 3/31/2017
** 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 4(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).
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