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OPKO Health Inc. — Director's Dealing 2018
Jun 13, 2018
6963_rns_2018-06-13_2925e42f-53bc-4235-b585-b85d7ff2c876.pdf
Director's Dealing
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FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may
continue. See Instruction 1(b).
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
| Logal | 1. Name and Address of Reporting Person Adam |
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 |
|||||
|---|---|---|---|---|---|---|---|---|
| (Last) | (First) (Middle) 4400 Biscayne Blvd. |
3. Date of Earliest Transaction (Month/Day/Year) 06/08/2018 |
Officer (give title below)____ Other (specify below) X Sr. Vice President, CFO |
|||||
| (Street) Miami |
FL | 33137 | 4. If Amendment, Date Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person ____ Form filed by More than One Reporting Person |
||||
| (City) | (State) | (Zip) |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1.Title of Security (Instr. 3) |
2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any |
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 Transaction(s) |
6. Ownership Form: |
7. Nature of Indirect Beneficial |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| (Month/Day/Year) | Code | V | Amount | (A) or (D) |
Price | (Instr. 3 and 4) | Direct (D) or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
||
| Common Stock | 06/08/2018 | M | 75,000 | A | \$3.43 | 239,858 | D | |||
| Common Stock | 06/08/2018 | F | 63,946 (1) |
D | \$4.26 (2) |
175,912 | D |
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 (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
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 (Month/Day/Year) |
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) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
(Instr. 4) | (Instr. 4) | ||||||
| Stock Option (Right to Buy) |
\$3.43 | 06/08/2018 | M | 75,000 | (3) | 06/08/2018 | Common Stock |
75,000 | \$ 0 |
0 | D |
Explanation of Responses:
- (1) Represents the number of shares withheld by the Company at the direction of the reporting person for payment of the exercise price and tax liability in connection with the exercise of the stock option. No shares of Common stock were sold by the reporting person in connection with this transaction. The reporting person has retained the net number of shares issued upon the exercise of the option, less the amount retained to pay the associated tax liability (11,054 of shares).
- (2) Closing market price of the Company's common stock on the transaction date.
- (3) The options were granted on June 9, 2011 and vest in four equal installments beginning on June 9, 2012.
Adam Logal 06/12/2018
**Signature of Reporting Person Date
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