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organization · Reporting owner

L-5 Healthcare Partners, LLC

Disclosed activity across 1 company

Tapewire entity
113559
SEC CIK
0001733085

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Alphatec Holdings, Inc.ATEC · Entity 472010% owner · Director by deputizationMay 10, 2023May 12, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Alphatec Holdings, Inc.

Report date May 10, 2023 · Filed May 12, 2023

Jointly reported with Segal Paul

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect11,081,538 Reported balance After 2023-05-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-05-10 · Sale · Disposed 1,700,000 · Balance 11,081,538

F1: This price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.88 to $15.67, inclusive. The reporting undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

F4: Paul Segal separately is the direct beneficial owner of 171,329 shares of Common Stock of the Issuer.

F2: 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.

F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: This price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.88 to $15.67, inclusive. The reporting undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

F2: 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.

F3: 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.

F4: Paul Segal separately is the direct beneficial owner of 171,329 shares of Common Stock of the Issuer.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 10, 2023 Filed May 12, 2023 20:59 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 SaleCommon Stock 1,700,000 $14.88 $25,296,000.00
Disclosure

SEC source: 0000899140-23-000630 · form4.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,081,538

F1 · price: This price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.88 to $15.67, inclusive. The reporting undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 171,329 shares of Common Stock of the Issuer.

F2 · ownership.direct: 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.

F3 · ownership.direct: 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.

Read SEC document
February 17, 2023 Filed Feb 22, 2023 01:40 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 OtherWarrants to Purchase Common Stock · Derivative 2,346,032 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001567619-23-003444 · doc1.xml · derivative · entry 3

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,346,032 shares

Expires 2023-05-17

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
February 17, 2023 Filed Feb 22, 2023 01:40 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Tax withholdingCommon Stock 562,327 $14.60 $8,209,974.20
Disclosure

SEC source: 0001567619-23-003444 · doc1.xml · nonDerivative · entry 2

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,781,538

F3 · shares: Represents a "cashless exercise" of outstanding warrants. The reporting person received 1,783,705 shares of Common Stock on cashless exercise of warrants to purchase 2,346,032 shares of Common Stock. The Company withheld 562,327 shares of Common Stock underlying the warrants for payment of the exercise price, using the VWAP on February 16, 2023 of approximately $14.60, pursuant to the terms of the warrant.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
February 17, 2023 Filed Feb 22, 2023 01:40 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Exercise / conversionCommon Stock 2,346,032 $3.50 $8,211,112.00
Disclosure

SEC source: 0001567619-23-003444 · doc1.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,343,865

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
January 25, 2023 Filed Jan 26, 2023 23:54 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 OtherWarrants to Purchase Common Stock · Derivative 2,000,000 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001567619-23-001321 · doc1.xml · derivative · entry 3

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,346,032

Underlying: Common Stock · 2,000,000 shares

Expires 2023-05-17

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
January 25, 2023 Filed Jan 26, 2023 23:54 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Tax withholdingCommon Stock 532,513 $13.14 $6,997,220.82
Disclosure

SEC source: 0001567619-23-001321 · doc1.xml · nonDerivative · entry 2

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,997,833

F3 · shares: Represents a "cashless exercise" of outstanding warrants. The reporting person received 1,467,487 shares of Common Stock on cashless exercise of warrants to purchase 2,000,000 shares of Common Stock. The Company withheld 532,513 shares of Common Stock underlying the warrants for payment of the exercise price, using the VWAP on January 24, 2023 of approximately $13.14, pursuant to the terms of the warrant.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
January 25, 2023 Filed Jan 26, 2023 23:54 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Exercise / conversionCommon Stock 2,000,000 $3.50 $7,000,000.00
Disclosure

SEC source: 0001567619-23-001321 · doc1.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,530,346

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
November 17, 2022 Filed Nov 18, 2022 22:20 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 OtherWarrants to Purchase Common Stock · Derivative 1,000,000 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001567619-22-020632 · doc1.xml · derivative · entry 3

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,346,032

Underlying: Common Stock · 1,000,000 shares

Expires 2023-05-17

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
November 17, 2022 Filed Nov 18, 2022 22:20 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Tax withholdingCommon Stock 336,625 $10.40 $3,500,900.00
Disclosure

SEC source: 0001567619-22-020632 · doc1.xml · nonDerivative · entry 2

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,530,345

F3 · shares: 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.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
November 17, 2022 Filed Nov 18, 2022 22:20 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Exercise / conversionCommon Stock 1,000,000 $3.50 $3,500,000.00
Disclosure

SEC source: 0001567619-22-020632 · doc1.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,866,970

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
November 09, 2022 Filed Nov 11, 2022 02:30 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 OtherWarrants to Purchase Common Stock · Derivative 1,000,000 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001567619-22-019629 · doc1.xml · derivative · entry 3

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,346,032

Underlying: Common Stock · 1,000,000 shares

Expires 2023-05-17

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
November 09, 2022 Filed Nov 11, 2022 02:30 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Tax withholdingCommon Stock 375,790 $9.31 $3,498,604.90
Disclosure

SEC source: 0001567619-22-019629 · doc1.xml · nonDerivative · entry 2

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,866,971

F3 · shares: 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.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
November 09, 2022 Filed Nov 11, 2022 02:30 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Exercise / conversionCommon Stock 1,000,000 $3.50 $3,500,000.00
Disclosure

SEC source: 0001567619-22-019629 · doc1.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,242,761

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · balance_after: Paul Segal separately is the direct beneficial owner of 338,825 shares of Common Stock of the Issuer.

F1 · ownership.direct: 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.

F2 · ownership.direct: 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.

Read SEC document
June 16, 2021 Filed Jun 16, 2021 21:39 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Exercise / conversionWarrants to Purchase Common Stock · Derivative 400,000 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001567619-21-012222 · doc1.xml · derivative · entry 3

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,346,032

Underlying: Common Stock · 400,000 shares

Expires 2023-05-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.direct: Each of Jason Hochberg 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.

F2 · ownership.direct: 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.

Read SEC document
June 16, 2021 Filed Jun 16, 2021 21:39 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Tax withholdingCommon Stock 93,747 $14.93 $1,399,642.71
Disclosure

SEC source: 0001567619-21-012222 · doc1.xml · nonDerivative · entry 2

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,242,761

F3 · shares: Represents a "cashless exercise" of outstanding warrants. The reporting person received 306,253 shares of Common Stock on cashless exercise of warrants to purchase 400,000 shares of Common Stock. The Company withheld 93,747 shares of Common Stock underlying the warrants for payment of the exercise price, using the VWAP on June 15, 2021 of $14.93, pursuant to the terms of the warrant.

F1 · ownership.direct: Each of Jason Hochberg 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.

F2 · ownership.direct: 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.

Read SEC document
June 16, 2021 Filed Jun 16, 2021 21:39 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 Exercise / conversionCommon Stock 400,000 $3.50 $1,400,000.00
Disclosure

SEC source: 0001567619-21-012222 · doc1.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,336,508

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.direct: Each of Jason Hochberg 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.

F2 · ownership.direct: 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.

Read SEC document
May 17, 2018 Filed May 21, 2018 20:32 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 ConversionSeries B Convertible Preferred Stock · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-024930 · doc1.xml · derivative · entry 2

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,936,508 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F1 · derivative.exercise_date: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F1 · derivative.expiration_date: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F2 · ownership.direct: Each of Jason Hochberg 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.

F3 · ownership.direct: 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.

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May 17, 2018 Filed May 21, 2018 20:32 UTC Alphatec Holdings, Inc. ATEC · Entity 4720 ConversionCommon Stock 7,936,508 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-024930 · doc1.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,936,508

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F2 · ownership.direct: Each of Jason Hochberg 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.

F3 · ownership.direct: 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.