Document
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
 
FORM 10-K/A
Amendment No.1
 
(Mark One)
x
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2017
or
o
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from              to             
COMMISSION FILE NO. 001-36905
 
SeaSpine Holdings Corporation
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
 
DELAWARE
 
47-3251758
(STATE OR OTHER JURISDICTION OF
INCORPORATION OR ORGANIZATION)
 
(I.R.S. EMPLOYER
IDENTIFICATION NO.)
 
 
5770 Armada Drive, Carlsbad, California
 
92008
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES)
 
(ZIP CODE)
REGISTRANT’S TELEPHONE NUMBER, INCLUDING AREA CODE: (760) 727-8399

SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT:
Title of Each Class
 
Name of Exchange on Which Registered
Common Stock, Par Value $.01 Per Share
 
The Nasdaq Stock Market LLC
SECURITIES REGISTERED PURSUANT TO SECTION 12(g) OF THE ACT:
NONE  
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes   o   No  x 
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act. Yes  o
 No  x
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes  x    No  o
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  x    No  o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.   x 

1


   
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer”, “accelerated filer”, “smaller reporting company”, and "emerging growth company" in Rule 12b-2 of the Exchange Act.
Large accelerated filer
o
Accelerated filer
x 
 
 
 
 
Non-accelerated filer
o  (Do not check if a smaller reporting company)
Smaller reporting company
o
 
 
 
 
 
 
Emerging growth company
x 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  o    No  x 

As of June 30, 2017, the aggregate market value of the registrant’s common stock held by non-affiliates was approximately $109,009,256 based upon the closing sales price of the registrant’s common stock on The Nasdaq Global Select Market on such date. The number of shares of the registrant’s Common Stock, $0.01 par value, outstanding as of February 26, 2018 was 14,537,751.

DOCUMENTS INCORPORATED BY REFERENCE:
Certain portions of the registrant’s definitive proxy statement relating to its scheduled May 30, 2018 Annual Meeting of Stockholders are incorporated by reference in Part III of this report.

2


EXPLANATORY NOTE

This Amendment No. 1 on Form 10-K/A (this “Amendment”) amends the Annual Report on Form 10-K of SeaSpine Holdings Corporation for the fiscal year ended December 31, 2017, as filed with the Securities and Exchange Commission on March 2, 2018 (the “Original Filing”). The Consent of Independent Registered Public Accounting Firm filed as Exhibit 23.1 to the Original Filing (the "Auditor Consent") inadvertently omitted the name and conformed signature of the auditor, RSM US LLP. A signed copy of the Auditor Consent had been provided by RSM US LLP, but the conformed signature line was inadvertently omitted from the Auditor Consent when the Original Filing was filed. This Amendment is being filed solely to provide the Auditor Consent with the conformed signature of RSM US LLP.

In accordance with Rule 12b-15 of the Securities Exchange Act of 1934, as amended, this Amendment includes new certifications required by Sections 302 and 906 of the Sarbanes-Oxley Act of 2002, as amended, dated as of the filing date of this Amendment.

No other changes were made to the Original Filing.

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PART IV
ITEM 15.
EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

3. Exhibits required to be filed by Item 601 of Regulation S-K.
EXHIBIT INDEX
 
 
 
 
 
 
Incorporated by Reference
Exhibit No.
 
Description
 
Filed or Furnished Herewith
 
Form
 
File/Film No.
 
Date Filed
2.1(a)*#
 
 
 
 
Form 10-Q
 
001-36905-161987764
 
11/10/2016
 
 
 
 
 
 
 
 
 
 
 
2.1(b)
 
 
 
 
Form 10-Q
 
001-36905-161987764
 
11/10/2016
 
 
 
 
 
 
 
 
 
 
 
2.1(c)
 
 
 
 
Form 10-K
 
001-36905-17665133
 
3/3/2017
 
 
 
 
 
 
 
 
 
 
 
2.2#
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
3.1
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
3.2
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
4.1
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
4.2
 
 
 
 
Form S-3
 
333-213089-161825462
 
8/11/2016
 
 
 
 
 
 
 
 
 
 
 
10.1
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.2
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 

4


10.3
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.4
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.5
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.6
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.7**
 
 
 
 
Form 8-K
 
001-36905-15966132
 
7/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.8**
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.9**
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.10**
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.11**
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.12**
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.13(a)
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.13(b)
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 

5


10.14
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.15(a)
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.15(b)
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.16
 
 
 
 
Form 8-K
 
001-36905-151103433
 
9/11/2015
 
 
 
 
 
 
 
 
 
 
 
10.17**
 
 
 
 
Form 8-K
 
001-36905-161378936
 
2/2/2016
 
 
 
 
 
 
 
 
 
 
 
10.18**
 
 
 
 
Form 8-K
 
001-36905-161472253
 
3/1/2016
 
 
 
 
 
 
 
 
 
 
 
10.19**
 
 
 
 
Form 10-K
 
001-36905-161510399
 
3/16/2016
 
 
 
 
 
 
 
 
 
 
 
10.20(a)
 

 
 
 
Form 10-K
 
001-36905-161510399
 
3/16/2016
 
 
 
 
 
 
 
 
 
 
 
10.20(b)
 
 
 
 
Form 10-K
 
001-36905-17665133
 
3/3/2017
 
 
 
 
 
 
 
 
 
 
 
10.21**
 
 
 
 
Form 10-Q
 
001-36905-161653403
 
5/16/2016
 
 
 
 
 
 
 
 
 
 
 

6


10.22(a)**
 
 
 
 
Form S-8
 
333-211887-161700155
 
6/7/2016
 
 
 
 
 
 
 
 
 
 
 
10.22(b)**
 
 
 
 
Form 8-K
 
001-36905-161841057
 
8/18/2016
 
 
 
 
 
 
 
 
 
 
 
10.22(c)**
 
 
 
 
Form S-8
 
333-211887-161700155
 
6/7/2016
 
 
 
 
 
 
 
 
 
 
 
10.22(d)**
 
 
 
 
Form 10
 
001-36905-15904590
 
6/1/2015
 
 
 
 
 
 
 
 
 
 
 
10.22(e)**
 
 
 
 
Form S-8
 
333-211887-161700155
 
6/7/2016
 
 
 
 
 
 
 
 
 
 
 
10.22(f)**
 

 
 
 
Form 10-K
 
001-36905-17665133
 
3/3/2017
 
 
 
 
 
 
 
 
 
 
 
10.22(g)**
 
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 
10.23**
 
 
 
 
Form 10-Q
 
001-36905-17818719
 
5/5/2017
 
 
 
 
 
 
 
 
 
 
 
21.1
 
 
 
 
Form 10-K
 
001-36905-161510399
 
3/16/2016
 
 
 
 
 
 
 
 
 
 
 
23.1
 
 
X
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
23.2
 
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 
24.1
 
Power of Attorney (included on the signatures page)
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 

7


31.1
 
 
X
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
31.2
 
 
X
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
32.1***
 
 
X
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
32.2***
 
 
X
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
†101.INS
 
XBRL Instance Document
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 
†101.SCH
 
XBRL Taxonomy Extension Schema Document
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 
†101.CAL
 
XBRL Taxonomy Extension Calculation Linkbase Document
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 
†101.DEF
 
XBRL Definition Linkbase Document
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 
†101.LAB
 
XBRL Taxonomy Extension Labels Linkbase Document
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018
 
 
 
 
 
 
 
 
 
 
 
†101.PRE
 
XBRL Taxonomy Extension Presentation Linkbase Document
 
 
 
Form 10-K
 
001-36905-18663242
 
3/2/2018

8


SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this Form 10-K/A to be signed on its behalf by the undersigned thereunto duly authorized.
 
 
 
 
 
 
 
SEASPINE HOLDINGS CORPORATION
 
 
 
Date:
March 6, 2018
 
/s/ Keith C. Valentine
 
 
 
Keith C. Valentine
 
 
 
President and Chief Executive Officer





 


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