UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-qualified Stock Option | 12/19/2013(2) | 12/19/2022 | Common Stock | 2,500 | $ 24.6 | D | Â |
Incentive Stock Option | 01/04/2014(2) | 01/04/2023 | Common Sock | 6,250 | $ 20.64 | D | Â |
Incentive Stock Option | 08/08/2014(2) | 08/08/2023 | Common Stock | 2,500 | $ 24.48 | D | Â |
Incentive Stock Option | 07/30/2015(2) | 07/30/2024 | Common Stock | 3,750 | $ 17.04 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nelson Dennis C/O ALPHATEC HOLDINGS, INC. 5818 EL CAMINO REAL CARLSBAD, CA 92008 |
 |  |  VP, Finance and Controller |  |
/s/ Ebun S. Garner, Esq., Attorney-in-fact | 11/09/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | 833 of such shares of restricted common stock only vests upon a change of control of the company. 8 shares of such restricted common stock is fully vested. |
(2) | The options vest over four years with 25% vesting on the anniversary of the grant date and the remaining 75% vesting in equal installments every three months for the three years thereafter. |