Regulatory Filings • May 15, 2022
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
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
| Borisy | 1. Name and Address of Reporting Person Alexis |
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) 4400 Biscayne Blvd. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 05/09/2022 |
Director _ Officer (give title below)_ Other (specify below) |
||||
| (Street) Miami |
FL 33137 |
4. If Amendment, Date Original Filed (Month/Day/Year) 05/11/2022 |
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) |
| 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 |
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|---|---|---|---|---|---|---|---|---|---|---|
| (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 | 05/09/2022 | A | 312,612 (1) |
A | \$ 0 | 312,612 | D |
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Code (Instr. 8) |
5. Number of Transaction Derivative Securities 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) |
\$2.44 | 05/09/2022 | A | 50,000 | 05/09/2023 | 05/08/2032 | Common Stock |
50,000 | \$ 0 |
50,000 | D |
(1) On May 9, 2022, the Issuer awarded the Reporting Person restricted stock in the amount indicated in connection with the merger between the Issuer and ModeX Therapeutics, Inc. ("ModeX"), pursuant to which ModeX became a subsidiary of the Issuer.
This form is being amended to correct the footnote to Column 4 in Table I.
Steven D. Rubin, Attorney-in-Fact 05/13/2022
**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.
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