Regulatory Filings • Nov 14, 2023
Regulatory Filings
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Washington, D.C. 20549
OMB APPROVAL
| OMB Number: | 3235-0287 |
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Check this box if no longer subject to
Instruction 1(b).
Section 16. Form 4 or
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 |
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| (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 |
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| (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. |
| 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 |
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|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | (Instr. 3 and 4) | Direct (D) or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
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| 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 |
| 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 | ||||
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| 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 |
**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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