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OPKO Health Inc.

Regulatory Filings Nov 14, 2023

6963_rns_2023-11-14_4d3dde27-867d-4686-b239-f9c1cdf63042.pdf

Regulatory Filings

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FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

OMB APPROVAL

OMB Number: 3235-0287
Estimated average burden hours
per response 0.5

Check this box if no longer subject to

Instruction 1(b).

Section 16. Form 4 or

Form 5 obligations may continue. See 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
Pfenniger, Jr.
Richard
C
2. Issuer Name and Ticker or Trading Symbol
OPKO Health, Inc. [OPK]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
____ 10% Owner
X
Director
(Last)
OPKO Health, Inc.
4400 Biscayne Blvd.
(First) (Middle) 3. Date of Earliest Transaction (Month/Day/Year)
11/13/2023
_ Officer (give title below)_ Other (specify below)
(Street)
Miami
FL 33137 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) Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is
intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1.Title of Security
(Instr. 3)
2. Transaction
Date
(Month/Day/Year)
2A. Deemed
Execution Date, if
any
(Month/Day/Year)
3. Transaction
Code
(Instr. 8)
4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities
Beneficially Owned Following
Reported Transaction(s)
6.
Ownership
Form:
7. Nature of
Indirect
Beneficial
Code V Amount (A) or
(D)
Price (Instr. 3 and 4) Direct (D)
or Indirect
(I)
(Instr. 4)
Ownership
(Instr. 4)
Common Stock 11/13/2023 P 5,000 A \$1.2993 280,000 D
Common Stock 11/13/2023 P 5,000 A \$1.2994 285,000 D
Common Stock 11/13/2023 P 5,000 A \$1.2997 290,000 D
Common Stock 11/13/2023 P 10,000 A \$1.2999 300,000 D

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 and 7. Title and 8. Price of 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, if Transaction of 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 of Reported or Indirect
(D) Transaction(s) (I)
(Instr. 3, 4, (Instr. 4) (Instr. 4)
and 5)
Amount
or
Date Expiration Number
Code V (A) (D) Exercisable Date Title of Shares

Explanation of Responses:

Steven D. Rubin, Attorney-in-Fact 11/14/2023

**Signature of Reporting Person Date

* 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.

Potential persons who are to 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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