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OPKO Health Inc.

Major Shareholding Notification Jan 11, 2024

6963_rns_2024-01-11_855fbd20-4976-4aed-b0b1-b8eeb03412a3.pdf

Major Shareholding Notification

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1/10/24, 4:35 PM Ownership Submission

FORM 4
Check this box if no
longer subject to
Section 16. Form 4 or
Form 5 obligations
may continue. See
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Instruction 1(b).
Check this box to
indicate that a
Washington, D.C. 20549
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 *
Gary J. Nabel, M.D., 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
(Last)
OPKO Health, Inc.
4400 Biscayne Blvd.
(First)
(Middle)
(Street)
(State)
(Zip)
3. Date of Earliest Transaction (Month/Day/Year)
01/08/2024
__ X __ Officer (give title below)
_____ Other (specify below)
Chief Innovation Officer
Miami,
FL 33137
(City)
4. If Amendment, Date Original Filed
(Month/Day/Year)
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person
___ 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 1/10/24, 4:35 PM Ownership Submission

Common Stock 01/08/2024 P 108,695 A \$
0.925
351,442 I See
Footnote
(1)
Common Stock 01/08/2024 P 500 A \$
0.9178
500 I By
Spouse
(2)
Common Stock 01/08/2024 P 106,989 A \$
0.9293
107,489 (2) I By
Spouse
(2)
Common Stock 263,079 D
Common Stock 19,912,459 I See
Footnote
(3)
Common Stock 19,912,459 I See
Footnote
(4)

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

Explanation of Responses:

1. Shares held by the Nabel Family Investments LLC, of which the Reporting Person is the manager with sole investment power and has an approximately 48% interest through the parent trust, the 2009 Nabel Family Children's Trust of which the Reporting Person has sole control, and sole investment power. The Reporting Per disclaims beneficial ownership

1/10/24, 4:35 PM Ownership Submission

of these securities, except to the extent of any pecuniary interest therein and this report shall not be dee admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

  • 2. Shares held by the Elizabeth G. Nabel ROTH Contributory IRA. Excludes 113,200 shares purchased in 2022. 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. Shares held by the GJN 2021 TRUST for the benefit of the Reporting Person's spouse and descendants, and for which the Reporting Person's spouse serves as co-trustee together with an independent trustee. The Reporting Person's spouse and the independent trustee serve as investment advisors of the trust. 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.
  • 4. Shares held by the EGN 2021 TRUST for the benefit of the Reporting Person and his descendants, and for which an independent trustee has been appointed. The Reporting Person and the independent trustee serve as investment advisors of the trust. 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

Steven D. Rubin, Attorney-in-Fact 01/10/2024

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.

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