FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
(Print or Type Responses)
OMB APPROVAL | ||
OMB Number: | 3235-0287 | |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | Estimated average burden hours per | |
Washington, D.C. 20549 | response... | 0.5 |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person * Phillip Frost, M.D., ET AL
(Last) | (First) |
OPKO Health, Inc. | |
4400 Biscayne Blvd. | |
(Street) | |
Miami, FL 33137 | |
(City) | (State) |
2. Issuer Name and Ticker or Trading Symbol | |
OPKO Health, Inc. [ OPK ] | |
(Middle) | 3. Date of Earliest Transaction (Month/Day/Year) |
05/17/2024 | |
4. If Amendment, Date Original Filed (Month/Day/Year) | |
(Zip) |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__ X __ Director | __ X __ 10% Owner |
__ X __ Officer (give title below) | _____ Other (specify below) |
CEO & Chairman
6. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security | 2. Transaction | 2A. Deemed | 3. Transaction | 4. Securities Acquired (A) or | |||
(Instr. 3) | Date (Month | Execution | Code | Disposed of (D) | |||
/Day/Year) | Date, if any | (Instr. 8) | (Instr. 3, 4 and 5) | ||||
(Month/Day | |||||||
/Year) | |||||||
(A) or | |||||||
Code | V | Amount | (D) | Price | |||
Common Stock | 05/17/2024 | P | 163,997 | A | $ 1.2878 | ||
(1) | |||||||
Common Stock
Common Stock
5. Amount of Securities Beneficially Owned | 6. | 7. Nature |
Following Reported Transaction(s) | Ownership | of Indirect |
(Instr. 3 and 4) | Form: | Beneficial |
Direct (D) | Ownership | |
or Indirect | (Instr. 4) | |
(I) | ||
(Instr. 4) | ||
See | ||
211,132,222 | I | Footnote |
(2) | ||
3,068,951 | D | |
See | ||
30,127,177 | I | Footnote |
(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities) | ||||||||||||
1. Title of Derivative | 2. Conversion | 3. Transaction | 3A. Deemed | 4. Transaction | 5. Number of | 6. Date Exercisable and Expiration | 7. Title and Amount of | |||||
Security | or Exercise | Date (Month | Execution | Code | Derivative Securities | Date | Underlying Securities | |||||
(Instr. 3) | Price of | /Day/Year) | Date, if any | (Instr. 8) | Acquired (A) or | (Month/Day/Year) | (Instr. 3 and 4) | |||||
Derivative | (Month/Day | Disposed of (D) | ||||||||||
Security | /Year) | (Instr. 3, 4, and 5) | ||||||||||
Date Exercisable Expiration Date | Title | Amount or | ||||||||||
Number of Shares | ||||||||||||
Code | V | (A) | (D) | |||||||||
Reporting Owners | ||||||||||||
Reporting Owner Name / Address | Relationships | |||||||||||
Director | 10% Owner Officer | Other | ||||||||||
Phillip Frost, M.D., ET AL | ||||||||||||
OPKO Health, Inc. | X | X | CEO & Chairman | |||||||||
4400 Biscayne Blvd. | ||||||||||||
Miami, FL | 33137 | |||||||||||
Frost Gamma Investments Trust | ||||||||||||
OPKO Health, Inc. | X | |||||||||||
4400 Biscayne Blvd. | ||||||||||||
Miami, FL | 33137 |
8. Price of | 9. Number | 10. | 11. Nature |
Derivative | of | Ownership | of Indirect |
Security | Derivative | Form of | Beneficial |
(Instr. 5) | Securities | Derivative | Ownership |
Beneficially | Security: | (Instr. 4) | |
Owned | Direct (D) | ||
Following | or Indirect | ||
Reported | (I) | ||
Transaction | (Instr. 4) | ||
(s) | |||
(Instr. 4) |
Explanation of Responses:
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.285 to $1.29, inclusive. The reporting person undertakes to provide to OPKO Health, Inc. (the "Company"), any security holder of the Company 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 range set forth in footnote (1) to this Form 4.
- The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Signatures
Phillip Frost, M.D., Individually and as Trustee 05/17/2024
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- If the form is filed by more than one reporting person, see Instruction 4(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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
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Disclaimer
Opko Health Inc. published this content on 18 May 2024 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 18 May 2024 21:01:00 UTC.