Regulatory Filings • Jan 6, 2024
Regulatory Filings
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| 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). | Washington, D.C. 20549 |
| Check this box to | |
| indicate that a | STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES |
| transaction was made pursuant to a contract, |
|
| instruction or written | Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the |
| plan for the purchase | Investment Company Act of 1940 |
| 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. |
| 1. Name and Address of Reporting Person * Richard C. Pfenniger, Jr. |
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) |
||||
| Miami, FL 33137 |
(Street) | 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 |
||||
| (City) | (State) | (Zip) |
| 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) |
| 1/5/24, 12:15 PM |
Ownership | Submission | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | 01/05/2024 | P | 13,000 | A | \$ 0.9264 |
313,000 | D | |||
| Common Stock | 01/05/2024 | P | 12,000 | A | \$ 0.9488 |
325,000 | D |
( 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 |
** 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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