Major Shareholding Notification • Feb 8, 2024
Major Shareholding Notification
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2/7/24, 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 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. |
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 |
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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) 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) 02/07/2024 |
__ X __ Officer (give title below) _____ Other (specify below) CEO & Chairman |
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| Miami, FL 33137 |
(Street) | 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 |
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| (City) | (State) | (Zip) |
| 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) |
| Common Stock | 02/07/2024 | P | 1,500,000 | A | \$ 0.9752 (1) |
207,368,225 | 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) | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| 6. Date Exercisable 7. Title and 8. Price of 9. Number of 10. 11. Nature |
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| and Expiration Date Amount of Derivative Derivative Ownership of Indirect |
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| (Month/Day/Year) Underlying Security Securities Form of Beneficial |
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| Securities (Instr. 5) Beneficially Derivative Ownership |
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| (Instr. 3 and 4) Owned Security: (Instr. 4) |
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| Following Direct (D) |
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| Reported or Indirect |
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| Transaction(s) (I) |
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| (Instr. 4) (Instr. 4) |
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| Amount | |||||||||||
| Expiration or |
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| Title Exercisable Date Number |
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| 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: February 7, 2024
Relationship to Issuer: 10% Owner
By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee
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