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OPKO Health Inc.

Major Shareholding Notification Mar 14, 2024

6963_rns_2024-03-14_c80d7efb-934e-4abd-8849-62f2bb00f162.pdf

Major Shareholding Notification

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3/13/24, 4:19 PM Ownership Submission

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
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
securities of the issuer
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the
Investment Company Act of 1940
that is intended to
satisfy the affirmative
defense conditions of
Rule 10b5-1(c). See
Instruction 10.

(Print or Type Responses)

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
(Last)
(First)
OPKO Health, Inc.
4400 Biscayne Blvd.
(Middle) 3. Date of Earliest Transaction (Month/Day/Year)
03/13/2024
__ 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

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) 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

3/13/24, 4:19 PM Ownership Submission

Common Stock 03/13/2024 P 500,000 A \$
0.9275
(1)
209,968,225 I See
Footnote
(2)
Common Stock 3,068,951 D
Common Stock 30,127,177 I See
Footnote
(3)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned

( 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

Reporting Owners

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

Explanation of Responses:

  • 1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from \$0.9172 to \$0.9383, 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.
  • 2. 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.
  • 3. 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 03/13/2024

** 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.

JOINT FILER INFORMATION

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 13, 2024

Relationship to Issuer: 10% Owner

FROST GAMMA INVESTMENTS TRUST

By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee

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