Filing Details
- Accession Number:
- 0001013594-17-000422
- Form Type:
- 13G Filing
- Publication Date:
- 2017-06-01 12:30:47
- Filed By:
- Gupta Niraj
- Company:
- Alphatec Holdings Inc. (NASDAQ:ATEC)
- Filing Date:
- 2017-06-01
- SEC Url:
- 13G Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Niraj Gupta | 814,459 | 0 | 814,459 | 0 | 814,459 | 7.50% |
Filing
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(RULE 13D - 102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b)
(Amendment No. )*
ALPHATEC HOLDINGS, INC.
(Name of Issuer)
Common Stock, par value $0.0001
(Title of Class of Securities)
02081G201
(CUSIP Number)
May 12, 2017
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[ ] Rule 13d-1(b)
[x] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| 1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| Niraj Gupta | |
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| (a) [x] | |
| (b) [ ] | |
| 3. | SEC USE ONLY |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| United States | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | |
| 5. | SOLE VOTING POWER |
| 814,459 | |
| 6. | SHARED VOTING POWER |
| 0 | |
| 7. | SOLE DISPOSITIVE POWER |
| 814,459 | |
| 8. | SHARED DISPOSITIVE POWER |
| 0 | |
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 814,459 | |
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] |
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
| 7.50% | |
| 12. | TYPE OF REPORTING PERSON |
| IN | |
This Schedule 13G reflects the beneficial ownership of the Reporting Persons (as defined below) as of
May 15, 2017.
| Item 1(a). | Name of Issuer: |
Alphatec Holdings, Inc. (the "Issuer")
| Item 1(b). | Address of Issuer's Principal Executive Offices: |
5818 El Camino Real
Carlsbad, CA 92008
| Item 2(a). | Name of Persons Filing: |
Niraj Gupta
The shares of Common Stock reported in this Schedule 13G are held by Niraj Gupta directly or through his individual retirement account.
| Item 2(b). | Address of Principal Business Office or, if None, Residence: |
The business address of Mr. Gupta is:
1350 Avenue of the Americas, 4th Floor
New York, NY 10019
| Item 2(c). | Citizenship: |
Mr. Gupta is a citizen of the United States.
| Item 2(d). | Title of Class of Securities: |
Common Stock, $0.0001 par value per share ("Common Stock").
| Item 2(e). | CUSIP Number: |
02081G201
| Item 3. | If This Statement is Filed Pursuant to Rule 13d 1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: |
| (a) | [ ] | Broker or dealer registered under Section 15 of the Exchange Act. | |
| (b) | [ ] | Bank as defined in Section 3(a)(6) of the Exchange Act. | |
| (c) | [ ] | Insurance company defined in Section 3(a)(19) of the Exchange Act. | |
| (d) | [ ] | Investment company registered under Section 8 of the Investment Company Act. | |
| (e) | [ ] | Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). | |
| (f) | [ ] | Employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). | |
| (g) | [ ] | Parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). | |
| (h) | [ ] | Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. | |
| (i) | [ ] | Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; | |
| (j) | [ ] | Non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J). | |
| (k) | [ ] | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____ |
If this statement is filed pursuant to Rule 13d-1(c), check this box [x]
| Item 4. | Ownership. |
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) | Amount beneficially owned: |
Mr. Gupta beneficially owns the 814,459 shares of Common Stock reported herein personally or through individual retirement accounts.
| (b) | Percent of class: |
The 814,459 shares of Common Stock beneficially owned by Mr. Gupta represents 7.50% of the 10,857,733 shares of Common Stock outstanding as reported in the Issuer's Form 10-Q Quarterly Report as of May 10, 2017.
(c) Number of shares as to which such person has:
| (i) | Sole power to vote or to direct the vote |
Mr. Gupta has sole power to vote or to direct the vote of the 814,459 shares of Common Stock reported herein.
(ii) Shared power to vote or to direct the vote
Not applicable.
| (iii) | Sole power to dispose or to direct the disposition of |
Mr. Gupta has sole power to dispose or direct the disposition of the 814,459 shares of Common Stock reported herein.
(iv) Shared power to dispose or to direct the disposition of
Not applicable.
| Item 5. | Ownership of Five Percent or Less of a Class. |
If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ].
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not applicable.
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. |
Not applicable.
| Item 8. | Identification and Classification of Members of the Group. |
Not applicable.
| Item 9. | Notice of Dissolution of Group. |
Not applicable.
| Item 10. | Certification. |
By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.
| Dated: | June 1, 2017 |
| /s/ Niraj Gupta Niraj Gupta |