Director's Dealing • Nov 21, 2024
Director's Dealing
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| FORM 4 | OMB APPROVAL | ||||||
|---|---|---|---|---|---|---|---|
| Instruction 1(b). defense conditions of Rule 10b5-1(c). See Instruction 10. (Print or Type Responses) |
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See 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 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 |
OMB Number: 3235-0287 Estimated average burden hours per response |
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| 1. Name and Address of Reporting Person * Phillip Frost, M.D., ET AL |
2. Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. [ OPK ] |
5. Relationship of Reporting Person(s) to Issuer | (Check all applicable) | ||||
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 11/08/2024 |
__ X __ Director __ X __ Officer (give title below) |
__ X __ 10% Owner _____ Other (specify below) CEO & Chairman |
| (Last) OPKO Health, Inc. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 11/08/2024 |
__ X __ Officer (give title below) _____ Other (specify below) CEO & Chairman |
|---|---|---|---|---|
| 4400 Biscayne Blvd. | ||||
| (Street) | 4. If Amendment, Date Original Filed (Month/Day/Year) 11/08/2024 |
6. Individual or Joint/Group Filing (Check Applicable Line) ___ Form filed by One Reporting Person |
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| Miami, FL 33137 | _ X _ Form filed by More than One Reporting Person | |||
| (City) | (State) | (Zip) |
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||
|---|---|---|---|---|
| 1.Title of Security (Instr. 3) |
2. Transaction Date (Month Execution /Day/Year) Date, if any |
2A. Deemed 3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) |
6. Ownership Form: |
7. Nature of Indirect Beneficial |
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|---|---|---|---|---|---|---|---|---|---|---|
| (Month/Day /Year) |
Code | V | Amount | (A) or (D) |
Price | Direct (D) or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
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| Common Stock | 11/08/2024 | P | 280,183 | A | \$ 1.5045 (1) |
211,512,405 | I | See Footnote (2) |
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| Common Stock | 30,127,177 | I | See Footnote (3) |
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| Common Stock | 3,568,951 (4) | D |
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month /Day/Year) |
3A. Deemed Execution Date, if any (Month/Day /Year) |
4. Transaction Code (Instr. 8) |
6. Date Exercisable and Expiration 7. Title and Amount of 8. Price of Date Underlying Securities Derivative of (Month/Day/Year) (Instr. 3 and 4) Security (Instr. 5) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
9. Number Derivative Securities Beneficially |
10. Ownership Form of Derivative Security: |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable Expiration Date | Title Amount or Number of Shares |
Owned Following Reported Transaction (s) (Instr. 4) |
Direct (D) or Indirect (I) (Instr. 4) |
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| 1. Name and Address of Reporting Person* Phillip Frost, M.D., ET AL |
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| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) | (Middle) |
| Phillip Frost, M.D., ET AL | |||
|---|---|---|---|
| (Last) | (First) OPKO Health, Inc. 4400 Biscayne Blvd. |
(Middle) | |
| (Street) Miami |
FL | 33137 | |
| (City) | (State) | (Zip) | |
| Relationship of Reporting Person(s) to Issuer | |||
| X X |
Director Officer (give title below) CEO & Chairman 1. Name and Address of Reporting Person* Frost Gamma Investments Trust |
X | 10% Owner Other (specify below) |
| (Last) | (First) OPKO Health, Inc. 4400 Biscayne Blvd. |
(Middle) | |
| (Street) Miami |
FL | 33137 | |
| (City) | (State) | (Zip) | |
| Relationship of Reporting Person(s) to Issuer | |||
| Director Officer (give title below) |
X | 10% Owner Other (specify below) |
Signature of Reporting Person ** Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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.
Name: Frost Gamma Investments Trust
Address: 4400 Biscayne Blvd. Miami, FL 33137
Designated Filer: Phillip Frost, M.D.
Issuer Name and Ticker Symbol: OPKO Health, Inc. (OPK)
Date of Earliest Transaction: November 20, 2024
Relationship to Issuer: 10% Owner
By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee
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