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OPKO Health Inc.

Regulatory Filings Jun 24, 2023

6963_rns_2023-06-24_e05f1220-7fe1-4d59-933d-99ee967d5524.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 Section 16. Form 4 or

Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

continue. See Instruction 1(b).

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
(Last)
OPKO Health, Inc.
4400 Biscayne Blvd.
(First) (Middle) 3. Date of Earliest Transaction (Month/Day/Year)
06/22/2023
X
Director
_ 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of Securities Beneficially 6. 7. Nature of
(Instr. 3) Date Execution Date, if Code (A) or Disposed of (D) Owned Following Reported Ownership Indirect
(Month/Day/Year) any (Instr. 8) (Instr. 3, 4 and 5) Transaction(s) Form: Beneficial
(Month/Day/Year) (Instr. 3 and 4) Direct (D) Ownership
or Indirect (Instr. 4)
(A) or (I)
Code V Amount (D) Price (Instr. 4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of
Derivative
Security
(Instr. 3)
2.
3. Transaction
3A. Deemed
Conversion
Date
Execution Date, if
or Exercise
(Month/Day/Year)
any
Price of
(Month/Day/Year)
Derivative
Security
4.
Transaction
Code
(Instr. 8)
5. Number of
Derivative
Securities
Acquired (A)
or Disposed
(Instr. 3, 4,
6. Date Exercisable and
Expiration Date
(Month/Day/Year)
7. Title and Amount of
Underlying Securities
(Instr. 3 and 4)
8. Price of
Derivative
Security
(Instr. 5)
9. Number of
Derivative
Securities
Beneficially
Owned
Following
Reported
Transaction(s)
10.
Ownership
Form of
Derivative
Security:
Direct (D)
or Indirect
(I)
11. Nature
of Indirect
Beneficial
Ownership
(Instr. 4)
Code V (A) (D) Date
Exercisable
Expiration
Date
Title Amount
or
Number
of
Shares
(Instr. 4) (Instr. 4)
Stock
Option
(Right to
Buy)
\$1.61 06/22/2023 A 60,000 06/22/2024 06/21/2033 Common
Stock
60,000 \$
0
60,000 D

Explanation of Responses:

Steven D. Rubin, Attorney-in-Fact 06/23/2023

**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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