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OPKO Health Inc.

Major Shareholding Notification Aug 9, 2022

6963_rns_2022-08-08_6a8d062f-b0d7-4aca-942e-3c8d502029a6.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

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

FROST 1. Name and Address of Reporting Person
PHILLIP M.D.
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
Officer (give title below)____ Other (specify below)
(Last)
OPKO Health, Inc.
4400 Biscayne Blvd.
(First)
(Middle)
3. Date of Earliest Transaction (Month/Day/Year)
08/05/2022
X
CEO & Chairman
(Street)
Miami
FL
33137
(City)
(State)
(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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1.Title of Security
(Instr. 3)
2. Transaction
2A. Deemed
Date
Execution Date, if
(Month/Day/Year)
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 08/05/2022 P 300 A \$2.245 196,606,994 I See
Footnote
(1)
Common Stock 08/05/2022 P 7,350 A \$2.25 196,614,344 I See
Footnote
(1)
See
Common Stock 08/05/2022 P 400 A \$2.255 196,614,744 I Footnote
(1)
Common Stock 08/05/2022 P 1,600 A \$2.259 196,616,344 I See
Footnote
(1)
Common Stock 08/05/2022 P 9,869 A \$2.26 196,626,213 I See
Footnote
(1)
Common Stock 08/05/2022 P 700 A \$2.265 196,626,913 I See
Footnote
(1)
Common Stock 08/05/2022 P 400 A \$2.27 196,627,313 I See
Footnote
(1)
Common Stock 08/05/2022 P 300 A \$2.2701 196,627,613 I See
Footnote
(1)
Common Stock 08/05/2022 P 500 A \$2.2725 196,628,113 I See
Footnote
(1)
Common Stock 08/05/2022 P 49,249 A \$2.275 196,677,362 I See
Footnote
(1)
Common Stock 08/05/2022 P 27,700 A \$2.28 196,705,062 I See
Footnote
(1)
Common Stock 08/05/2022 P 35,734 A \$2.285 196,740,796 I See
Footnote
(1)
Common Stock 08/05/2022 P 24,400 A \$2.29 196,765,196 I See
Footnote
(1)
Common Stock 08/05/2022 P 52,210 A \$2.295 196,817,406 I See
Footnote
(1)
Common Stock 08/05/2022 P 600 A \$2.2975 196,818,006 I See
Footnote
(1)
Common Stock 08/05/2022 P 2,364 A \$2.2984 196,820,370 I See
Footnote
(1)
Common Stock 08/05/2022 P 3,500 A \$2.299 196,823,870 I See
Footnote
(1)
Common Stock 08/05/2022 P 69,986 A \$2.3 196,893,856 I See
Footnote
(1)
Common Stock 08/05/2022 P 11,375 A \$2.305 196,905,231 I See
Footnote
(1)
Common Stock 08/05/2022 P 804 A \$2.31 196,906,035 I See
Footnote
(1)
Common Stock 08/05/2022 P 43,656 A \$2.315 196,949,691 I See
Footnote
(1)
Common Stock 08/05/2022 P 7,003 A \$2.32 196,956,694 I See
Footnote
(1)
Common Stock 30,127,177 I See
Footnote
(2)

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
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

Explanation of Responses:

  • (1) The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. 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) These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole

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 08/08/2022

**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.

JOINT FILER INFORMATION

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: August 5, 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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