Major Shareholding Notification • Mar 13, 2024
Major Shareholding Notification
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| FORM 4 | ||
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| Check this box if no longer subject to Section 16. Form 4 or |
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| Form 5 obligations may continue. See Instruction 1(b). Check this box to |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
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| indicate that a transaction was made pursuant to a contract, |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES | |
| instruction or written plan for the purchase or sale of equity |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| securities of the issuer that is intended to satisfy the affirmative |
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| defense conditions of Rule 10b5-1(c). See Instruction 10. |
| 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 X __ 10% Owner |
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|---|---|---|---|---|---|---|---|
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 03/12/2024 |
__ X __ Officer (give title below) _____ Other (specify below) CEO & Chairman |
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| Miami, FL 33137 (City) |
(Street) (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 | 6. | 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 | (I) | |||||||||||||||||||||
| Code | V | Amount | (D) | Price | (Instr. 4) |
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
| Common Stock | 03/12/2024 | P | 600,000 | A | \$ 0.9323 (1) |
209,468,225 | I | See Footnote (2) |
|---|---|---|---|---|---|---|---|---|
| Common Stock | 3,068,951 | D | ||||||
| Common Stock | 30,127,177 | I | See Footnote (3) |
| ( e.g. , puts, calls, warrants, options, convertible securities) | |||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable | 7. Title and | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||
| Derivative | Conversion | Date | Execution Date, if | Transaction | of | and Expiration Date | Amount of | Derivative | Derivative | Ownership | of Indirect | ||||||
| Security | or Exercise | (Month/Day/Year) | any | Code | Derivative | (Month/Day/Year) | Underlying | Security | Securities | Form of | Beneficial | ||||||
| (Instr. 3) | Price of | (Month/Day/Year) | (Instr. 8) | Securities | Securities | (Instr. 5) | Beneficially | Derivative | Ownership | ||||||||
| Derivative | Acquired | (Instr. 3 and 4) | Owned | Security: | (Instr. 4) | ||||||||||||
| Security | (A) or | Following | Direct (D) | ||||||||||||||
| Disposed | Reported | or Indirect | |||||||||||||||
| of (D) | Transaction(s) | (I) | |||||||||||||||
| (Instr. 3, 4, | (Instr. 4) | (Instr. 4) | |||||||||||||||
| and 5) | |||||||||||||||||
| Amount | |||||||||||||||||
| Date | Expiration | or | |||||||||||||||
| Exercisable | Date | Title | Number | ||||||||||||||
| Code | V | (A) | (D) | of Shares |
| 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 |
** 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.
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 12, 2024
Relationship to Issuer: 10% Owner
By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee
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