Major Shareholding Notification • Jan 6, 2024
Major Shareholding Notification
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1/5/24, 3:37 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 |
|---|---|
| 1. Name and Address of Reporting Person * John A. Paganelli |
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) | 3. Date of Earliest Transaction (Month/Day/Year) 01/05/2024 |
_ Officer (give title below) ___ Other (specify below) |
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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) _ 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 | |||||||
| (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 | 01/05/2024 | P | 25,000 | A | \$ 0.8832 |
384,340 | D | |
|---|---|---|---|---|---|---|---|---|
| Common Stock | 9,175 | I | See Footnote (1) |
| 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 . These securities are owned by Mr. Paganelli's spouse. 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 purposes.
** 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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