Major Shareholding Notification • Jul 25, 2020
Major Shareholding Notification
Open in ViewerOpens in native device viewer
Washington, D.C. 20549
| OMB Number: | 3235-0104 |
|---|---|
| Estimated average burden hours | |
| per response | 0.5 |
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 | 2. Date of Event Requiring | 3. Issuer Name and Ticker or Trading Symbol | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Hernandez | Rulfo | F | Statement (Month/Day/Year) 07/22/2020 |
OPKO Health, Inc. [OPK] | ||||||
| (Last) 4400 Biscayne Blvd. |
(First) | (Middle) | 4. Relationship of Reporting Person(s) to Issuer |
5. If Amendment, Date Original | ||||||
| (Check all applicable) | Filed(Month/Day/Year) | |||||||||
| (Street) | _ Director _ 10% Owner |
6. Individual or Joint/Group Filing (Check | ||||||||
| Miami | FL | 33137 | ____ Other (specify X Officer (give title below) below) CAO, Treasurer |
Applicable Line) | ||||||
| (City) | (State) | (Zip) | X Form filed by One Reporting Person ____ Form filed by More than One Reporting Person |
|||||||
| Table I - Non-Derivative Securities Beneficially Owned | ||||||||||
| 1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
|||||||
| Common Stock | 87 | D |
Table II - Derivative Securities Beneficially Owned ( e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative |
5. Ownership Form of Derivative |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
|---|---|---|---|---|---|---|---|
| Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Security | Security: Direct (D) or Indirect (I) (Instr. 5) |
||
| Stock Option (Right to Buy) | (1) | 06/11/2024 | Common Stock |
40,000 | \$9.1 | D | |
| Stock Option (Right to Buy) | (2) | 03/17/2025 | Common Stock |
60,000 | \$14.42 | D | |
| Stock Option (Right to Buy) | (3) | 03/31/2026 | Common Stock |
75,000 | \$10.41 | D | |
| Stock Option (Right to Buy) | (4) | 06/20/2028 | Common Stock |
50,000 | \$4.46 | D | |
| Stock Option (Right to Buy) | (5) | 06/30/2029 | Common Stock |
100,000 | \$2.47 | D | |
| Stock Option (Right to Buy) | (6) | 06/03/2030 | Common Stock |
100,000 | \$2.27 | D |
Rulfo F. Hernandez 07/24/2020 **Signature of Reporting Person Date
* If the form is filed by more than one reporting person, see Instruction 5(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.
Building tools?
Free accounts include 100 API calls/year for testing.
Have a question? We'll get back to you promptly.