Director's Dealing • Nov 23, 2022
Director's Dealing
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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
Instruction 1(b).
Form 5 obligations may continue. See 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
| 1. Name and Address of Reporting Person PHILLIP M.D. FROST ET AL |
2. Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. [OPK] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X X Director 10% Owner |
|||||
|---|---|---|---|---|---|---|---|
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 11/22/2022 |
Officer (give title below)____ Other (specify below) X CEO & Chairman |
|||
| (Street) Miami (City) |
FL (State) |
33137 (Zip) |
4. If Amendment, Date Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) ____ Form filed by One Reporting Person X Form filed by More than One Reporting Person |
| 1.Title of Security (Instr. 3) |
2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any |
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 |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| (Month/Day/Year) | Code | V | Amount | (A) or (D) |
Price | (Instr. 3 and 4) | Direct (D) or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
||
| Common Stock | 3,068,951 | D | ||||||||
| Common Stock | 11/22/2022 | P | 34,247 | A | \$1.475 | 198,565,941 | I | See Footnote (1) |
||
| Common Stock | 11/22/2022 | P | 58,006 | A | \$1.48 | 198,623,947 | I | See Footnote (1) |
||
| See |
| Common Stock | 11/22/2022 | P | 1,200 | A | \$1.4825 | 198,625,147 | I | Footnote (1) |
|---|---|---|---|---|---|---|---|---|
| Common Stock | 11/22/2022 | P | 93,500 | A | \$1.485 | 198,718,647 | I | See Footnote (1) |
| Common Stock | 11/22/2022 | P | 11,551 | A | \$1.49 | 198,730,198 | I | See Footnote (1) |
| Common Stock | 11/22/2022 | P | 75,496 | A | \$1.5 | 198,805,694 | I | See Footnote (1) |
| Common Stock | 11/22/2022 | P | 6,345 | A | \$1.505 | 198,812,039 | I | See Footnote (1) |
| Common Stock | 11/22/2022 | P | 19,655 | A | \$1.51 | 198,831,694 | I | See Footnote (1) |
| Common Stock | 30,127,177 | I | See Footnote (2) |
| 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 | |||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Security | Derivative | Conversion or Exercise |
Date (Month/Day/Year) |
Execution Date, if any |
Transaction Code |
of Derivative |
Expiration Date (Month/Day/Year) |
Amount of Underlying |
Derivative Security |
Derivative Securities |
Ownership Form of |
of Indirect Beneficial |
||||
| (Instr. 3) | Price of Derivative |
(Month/Day/Year) | (Instr. 8) | Acquired | Securities | Securities (Instr. 3 and 4) |
(Instr. 5) | Beneficially Owned |
Derivative Security: |
Ownership (Instr. 4) |
||||||
| Security | (A) or | Following | Direct (D) | |||||||||||||
| (D) | Disposed of | Reported Transaction(s) |
or Indirect (I) |
|||||||||||||
| (Instr. 3, 4, and 5) |
(Instr. 4) | (Instr. 4) | ||||||||||||||
| Amount | ||||||||||||||||
| Date | Expiration | or Number |
||||||||||||||
| Code | V | (A) | (D) | Exercisable | Date | Title | of Shares |
| Relationships | |||||||||
|---|---|---|---|---|---|---|---|---|---|
| Reporting Owner Name / Address | Director | 10% Owner | Officer | Other | |||||
| FROST PHILLIP M.D. ET AL OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137 |
X | X | CEO & Chairman | ||||||
| Frost Gamma Investments Trust 4400 Biscayne Blvd. Miami, FL 33137 |
X |
and exclusive beneficiary. The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. 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.
Phillip Frost, M.D., Individually and as Trustee 11/23/2022
**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.
Name: Frost Gamma Investments Trust
Address: 4400 Biscayne Blvd. Miami, FL 33137
Designated Filer: Phillip Frost, M.D.
Issuer Name and Ticker Symbol: OPKO Health, Inc. (OPK)
Date of Earliest Transaction: November 22, 2022
Relationship to Issuer: 10% Owner
FROST GAMMA INVESTMENTS TRUST
By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee
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