Major Shareholding Notification • Jan 18, 2024
Major Shareholding Notification
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1/17/24, 4:13 PM Ownership Submission
| FORM 4 | |
|---|---|
| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See |
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| 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 that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
| Instruction 10. |
| 1. Name and Address of Reporting Person * Jane H. Hsiao, Ph.D. |
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 _____ 10% Owner |
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|---|---|---|---|---|---|---|---|---|
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) (Middle) |
3. Date of Earliest Transaction (Month/Day/Year) 01/17/2024 |
__ X __ Officer (give title below) _____ Other (specify below) Vice Chairman & CTO |
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| (Street) Miami, FL 33137 (City) (State) (Zip) |
4. If Amendment, Date Original Filed 6. Individual or Joint/Group Filing (Month/Day/Year) (Check Applicable Line) _ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
| 1.Title of Security | 2. Transaction | 2A. Deemed | 3. Transaction | 4. Securities Acquired | 5. Amount of Securities | 6. | 7. Nature | |||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Date | Execution Date, if | Code | (A) 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 | |||||||
| or Indirect | (Instr. 4) | |||||||||
| (A) or | (I) | |||||||||
| Code | V | Amount | (D) | Price | (Instr. 4) |
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| 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 | |||||||||||||
1. The securities are owned directly by Hsu Gamma Investment, L.P. Dr. Hsiao is the general partner of Hsu Gamma Investment, 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 the securities for purposes of Section 16 or for any other purpose.
Steven D. Rubin, Attorney-in-Fact 01/17/2024
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.
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