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OPKO Health Inc. — Director's Dealing 2015
Aug 28, 2015
6963_rns_2015-08-28_24512f5c-5b14-4997-8bcb-9b81c76dd766.pdf
Director's Dealing
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
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
- Name and Address of Reporting Person FROST PHILLIP M.D. ET AL
(Last) (First) (Middle) OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137
(Street) Miami FL 33137 (City) State (Zip)
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Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. [OPK]
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Date of Earliest Transaction (Month/Day/Year) 08/27/2015
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If Amendment, Date Original Filed (Month/Day/Year)
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Relationship of Reporting Person(s) to Issuer ___ X __ Director __ X __ 10% Owner ___ X __ Officer (give title below) __ Other (specify below) CEO & Chairman
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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
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Title of Security (Instr. 3)
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Transaction Date (Month/Day/Year)
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Deemed Execution Date, if any (Month/Day/Year)
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Transaction Code (Instr. 8)
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Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5)
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Date Exercisable and Expiration Date (Month/Day/Year)
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Title and Amount of Underlying Securities (Instr. 3 and 4)
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Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) Code V Amount (A) or (D) Price
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Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D I See Footnote(1) I See Footnote(1) I See Footnote(1) I See Footnote(1) I See Footnote(1) I See Footnote(1) I See Footnote(1) I See Footnote(1)
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Title of Derivative Security (Instr. 3)
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Conversion or Exercise Price of Derivative Security
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Transaction Date (Month/Day/Year)
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Deemed Execution Date, if any (Month/Day/Year)
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Transaction Code (Instr. 8)
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Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5)
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Date Exercisable and Expiration Date (Month/Day/Year)
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Price of Derivative Security (Instr. 5)
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Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
Reporting Owner Name / Address Director 10% Owner Officer Other
FROSTPHILLIP M.D. ET AL OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137
Frost Gamma Investments Trust 4400 Biscayne Blvd. Miami, FL 33137
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 owned directly by The Frost Group, LLC. Frost Gamma Investments Trust is a principal member of The Frost Group, LLC. 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 08/28/2015
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 27, 2015
Relationship to Issuer: 10% Owner
FROST GAMMA INVESTMENTS TRUST
By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee