AI assistant
OPKO Health Inc. — Director's Dealing 2015
Jun 11, 2015
6963_rns_2015-06-11_ef988cb1-91f7-4f06-b054-52e5eb598881.pdf
Director's Dealing
Open in viewerOpens in your device viewer
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
OMB APPROVAL OMB Number: 3235-0287 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* Baron Robert A | | | 2. Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. (OPK) | | | | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ☑ Director ☐ 10% Owner ☑ Officer (give title below) ☐ Other (specify below) | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | (Last) (First) (Middle) 2401 Ingleside Avenue Suite 1D | | | 3. Date of Earliest Transaction (MM/DD/YYYY) 06/10/2015 | | | | | | | | | (Street) Cincinnati OH 45206 (City) (State) (Zip) | | | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | | | | 6. Individual or Joint/Group Filing (Check Applicable Line) ☑ Form filed by One Reporting Person ☐ Form filed by More than One Reporting Person | | | | | Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | | | | | | | | | | | | 1. Title of Security (Instr 3.) | 2. Transaction Date (MM/DD/YYYY) | 2A. Deemed Execution Date, if any (MM/DD/YYYY) | 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 Transactions (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | | | | | Code | V | Amount | (A) or (D) | Price | | | | | Common Stock | 06/10/2015 | | P | | 3000 | A | $16.06 | 288965 | D | |
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) | ||||
| Code | V | Amount | (A) or (D) | Exercisable Date | Expiration Date | Title | Amount or Number of Shares |
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
6/11/2015
**Signature of Reporting Person
Date
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.