Regulatory Filings • Jun 24, 2023
Regulatory Filings
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Washington, D.C. 20549
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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
| Yu, M.D., PhD. | 1. Name and Address of Reporting Person Alice |
Lin-Tsing | 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 |
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|---|---|---|---|---|---|---|---|---|
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 06/22/2023 |
Director _ Officer (give title below)_ Other (specify below) |
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| (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 | 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) |
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction 3A. Deemed 4. 5. Number of Date Execution Date, if Transaction Derivative (Month/Day/Year) any Code Securities (Month/Day/Year) (Instr. 8) Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
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) |
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|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 | 30,000 | 06/22/2024 | 06/21/2033 | Common Stock |
30,000 | \$ 0 |
30,000 | D |
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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