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OPKO Health Inc.

Major Shareholding Notification May 8, 2023

6963_rns_2023-05-08_0135f2c7-0f5a-408e-812b-72ed6a23c040.pdf

Major Shareholding Notification

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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

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
(Last)
4400 Biscayne Blvd.
(First) (Middle) Officer (give title below)____ Other (specify below)
X
Chief Innovation Officer
(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

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
Code V Amount (A) or
(D)
Price or Indirect
(I)
(Instr. 4)
Ownership
(Instr. 4)
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)

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:

  • (1) Shares held by the GJN 2021 TRUST for the benefit of the Reporting Person's spouse and descendants, and for which the Reporting Person's spouse serves as co-trustee together with an independent trustee. The Reporting Person's spouse and the independent trustee serve as investment advisors of the trust. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
  • (2) Shares held by the EGN 2021 TRUST for the benefit of the Reporting Person and his descendants, and for which an independent trustee has been appointed. The Reporting Person and the independent trustee serve as investment advisors of the trust. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
  • (3) Shares held by the Nabel Family Investments LLC, of which the Reporting Person is the manager with sole investment power and has an approximately 48% interest through the parent trust, the 2009 Nabel Family Children's Trust of which the Reporting Person has sole control, and sole investment power. The Reporting Per disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

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.

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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