Major Shareholding Notification • Mar 19, 2024
Major Shareholding Notification
Open in ViewerOpens in native device viewer
3/18/24, 4:15 PM
L
| FORM 4 | OMB APPROVAL | ||
|---|---|---|---|
| OMB Number: | 3235 | ||
| Check this box if no longer subject to |
Estimated average burden hours per response |
||
| Section 16. Form 4 or | |||
| Form 5 obligations may continue. See Instruction 1(b). Check this box to |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
||
| indicate that a transaction was made |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES | ||
| 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. |
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 |
2. Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. OPK |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director |
||||
|---|---|---|---|---|---|---|
| Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(Middle) (First) |
3. Date of Earliest Transaction (Month/Day/Year) 03/18/2024 |
X Officer (give title below) Other (specify below) CEO & Chairman |
|||
| (Street) Miami, FL 33137 (City) (State) |
(Zip) | 4. If Amendment, Date Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person X Form filed by More than One Reporting Person |
| 1.Title of Security | 2. Transaction | 2A. Deemed | 3. Transaction 4. Securities Acquired (A) 5. Amount of Securities | 7. Nature | ||||||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Date | Execution Date, if Code | or Disposed of (D) | Beneficially Owned Following | Ownership of Indirect | |||||
| (Month/Day/Year) any | (Instr. 8) | (Instr. 3, 4 and 5) | Reported Transaction(s) | Form: | Beneficial | |||||
| (Month/Day/Year) | (Instr. 3 and 4) | Direct (D) Ownership | ||||||||
| (A) | or Indirect (Instr. 4) | |||||||||
| Or | (1) | |||||||||
| Code | Amount | (D) | Price | (Instr. 4) |
0.5
3235-0287
| Common Stock | 03/18/2024 | P | 500,000 | A | ಳ 0.8742 (1) |
210,968,225 | I | See Footnote (2) |
|---|---|---|---|---|---|---|---|---|
| Common Stock | 3,068,951 | D | ||||||
| Common Stock | 30,127,177 | I | See Footnote (3) |
| 1000 1 1 11000 Section 11 Cellery 2001 01 000 100 0000 10000 10000 | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 10 | 11. Nature | |||||||||
| Form of | Beneficial | |||||||||
| Derivative Ownership | ||||||||||
| Security: | (Instr. 4) | |||||||||
| Direct (D) | ||||||||||
| or Indirect | ||||||||||
| (Instr. 4) | ||||||||||
| Derivative Derivative Securities Following Reported |
8. Price of 9. Number of Ownership of Indirect Beneficially Transaction(s) (I) |
| Relationships | ||||||||
|---|---|---|---|---|---|---|---|---|
| Reporting Owner Name / Address | Director | 10% Owner Officer | Other | |||||
| Phillip Frost, M.D., ET AL OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137 |
X | X | CEO & Chairman | |||||
| Frost Gamma Investments Trust OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137 |
X |
Date " Signature of Reporting Person
Reminder: Report on a separate line for each class of securities beneficially owned directly.
* 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. 18tf(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 in this form are not required to respond unless the form displays a currently walld Off I will of
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: March 18, 2024
Relationship to Issuer: 10% Owner
By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee
Building tools?
Free accounts include 100 API calls/year for testing.
Have a question? We'll get back to you promptly.