Major Shareholding Notification • Jul 25, 2020
Major Shareholding Notification
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Washington, D.C. 20549
| OMB Number: | 3235-0104 |
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| 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 | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| Cohen | Jon | R | M.D. | Statement (Month/Day/Year) 07/23/2020 |
OPKO Health, Inc. [OPK] | ||||||
| (Last) 4400 Biscayne Blvd. |
(First) | (Middle) | Issuer | 4. Relationship of Reporting Person(s) to | 5. If Amendment, Date Original Filed(Month/Day/Year) |
||||||
| (Street) | (Check all applicable) ____ 10% Owner X Director |
6. Individual or Joint/Group Filing (Check | |||||||||
| Miami | FL | 33137 | X Officer (give title below) |
____ Other (specify below) |
Applicable Line) X Form filed by One Reporting Person |
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| (City) | (State) | (Zip) | SVP OPKO; Exec Chairman BRLI | ____ Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned | |||||||||||
| 1.Title of Security (Instr. 4) |
Owned (Instr. 4) |
2. Amount of Securities Beneficially | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership | ||||||
| Common Stock | 75,000 | D |
| 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) | 01/06/2029 | Common Stock |
500,000 | \$3.67 | D | |
| Stock Option (Right to Buy) | (2) | 09/16/2029 | Common Stock |
100,000 | \$2.17 | D | |
| Stock Option (Right to Buy) | (3) | 06/03/2030 | Common Stock |
1,500,000 | \$2.27 | D |
Steven D. Rubin, Attorney-in-Fact 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.
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