Major Shareholding Notification • May 8, 2023
Major Shareholding Notification
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Washington, D.C. 20549
OMB APPROVAL
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Check this box if no longer subject to
Section 16. Form 4 or
Form 5 obligations may
continue. See Instruction 1(b). 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
| Nabel, M.D., Ph.D |
1. Name and Address of Reporting Person Gary |
J. | 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) 4400 Biscayne Blvd. |
(First) | (Middle) | Officer (give title below)____ Other (specify below) X Chief Innovation Officer |
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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. |
| 2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any (Month/Day/Year) |
3. Transaction Code (Instr. 8) |
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 | or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
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| 05/05/2023 | P | 19,285 | A | \$1.78 | 94,756 | D | |||
| 05/05/2023 | P | 3,185 | A | \$1.793 | 97,941 | D | |||
| 05/05/2023 | P | 27,777 | A | \$1.8 | 125,718 | D | |||
| 05/05/2023 | P | 27,624 | A | \$1.81 | 153,342 | D | |||
| 05/05/2023 | P | 79,334 | A | \$1.82 | 232,676 | D | |||
| 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
(Instr. 3 and 4) | Direct (D) |
| Common Stock | 05/05/2023 | P | 19,475 | A | \$1.829 | 252,151 | D | |
|---|---|---|---|---|---|---|---|---|
| Common Stock | 05/05/2023 | P | 10,928 | A | \$1.83 | 263,079 | D | |
| Common Stock | 05/05/2023 | P | 28,538 | A | \$1.82 | 19,886,052 | I | See Footnote (1) |
| Common Stock | 05/05/2023 | P | 26,407 | A | \$1.85 | 19,912,459 | I | See Footnote (1) |
| Common Stock | 05/05/2023 | P | 54,945 | A | \$1.82 | 19,912,459 | I | See Footnote (2) |
| Common Stock | 05/05/2023 | P | 34,338 | A | \$1.838 | 114,338 | I | See Footnote (3) |
| Common Stock | 05/05/2023 | P | 54,346 | A | \$1.8399 | 168,684 | I | See Footnote (3) |
| Common Stock | 05/05/2023 | P | 20,009 | A | \$1.8472 | 188,693 | I | See Footnote (3) |
| Common Stock | 05/05/2023 | P | 54,054 | A | \$1.85 | 242,747 | I | See Footnote (3) |
| 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 |
Steven D. Rubin, Attorney-in-Fact 05/08/2023
**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.
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