1. Name and Address of Reporting Person * |
Â
TULLIS JAMES L L |
|
2. Date of Event Requiring Statement (Month/Day/Year) 03/08/2018 |
3. Issuer Name and Ticker or Trading Symbol Alphatec Holdings, Inc. [ATEC]
|
C/O ALPHATEC SPINE, INC., 5818 EL CAMINO REAL |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director |
__X__ 10% Owner |
_____ Officer (give title below) |
_____ Other (specify below) |
|
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
CARLSBAD, CA 92008 |
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 Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock
|
51,564
|
D
|
Â
|
Common Stock
|
1,239,985
|
I
|
By Tullis Dickerson Capital Focus III, LP
(1)
|
Common Stock
|
900,734
|
I
|
By Tullis Growth Fund, L.P.
(1)
|
|
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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Warrants (right to buy)
|
Â
(2)
|
Â
(2)
|
Common Stock
|
36,675
|
$
3.5
|
D
|
Â
|
6% Convertible Promissory Note due 2019
|
03/09/2019 |
03/09/2019 |
Common Stock
|
15,531
|
$
3.22
|
D
|
Â
|
Warrants (right to buy)
|
Â
(2)
|
Â
(2)
|
Common Stock
|
881,946
|
$
3.5
|
I
|
By Tullis Dickerson Capital Focus III, LP
(1)
|
6% Convertible Promissory Note due 2019
|
03/09/2019 |
03/09/2019 |
Common Stock
|
373,493
|
$
3.22
|
I
|
By Tullis Dickerson Capital Focus III, LP
(1)
|
Warrants (right to buy)
|
Â
(2)
|
Â
(2)
|
Common Stock
|
640,651
|
$
3.5
|
I
|
By Tullis Growth Fund, L.P.
(1)
|
6% Convertible Promissory Note due 2019
|
03/09/2019 |
03/09/2019 |
Common Stock
|
271,307
|
$
3.22
|
I
|
By Tullis Growth Fund, L.P.
(1)
|