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OPKO Health Inc. — Director's Dealing 2013
Sep 1, 2013
6963_rns_2013-09-01_00d351a6-c52c-4ab2-95ae-b2fb24c5f9dd.pdf
Director's Dealing
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FORM 4
► Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, or Section 30(h) of the Investment Company Act of 1940
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| 1. Name and Address of Reporting Person* |
| OPKO Health, Inc. (OPK) |
| ☑ Director ☑ 10% Owner |
| ☐ Officer (give title below) |
| ☐ Other (specify below) |
| --- |
| Baron |
| (Last) |
| 2401 Ingleside Avenue Suite 1D |
| (Street) |
| • Form filed by One Reporting Person |
| • Form filed by More than One Reporting Person |
| Cincinnati |
| (City) |
| Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
| 1. Title of Security (Instr 3.) |
FORM 4 (continued)
| Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr.3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (MM/DD/YYYY) | 3A. Deemed Execution Date (MM/DD/YYYY) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) (Instr. 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | Amount | (A) or (D) | Exercisable Date | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $8.58 | 08/28/2013 | A | 20000 | A | 08/28/2014 | 08/27/2020 | Common Stock | 20000 | $0.00 | 20000 | D |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- 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).
Adam Logal, Attorney-in-Fact
8/29/2013
**Signature of Reporting Person
Date
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