Director's Dealing • Jul 3, 2019
Director's Dealing
Open in ViewerOpens in native device viewer
Instruction 1(b).
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
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 PHILLIP M.D. FROST ET AL |
2. Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. [OPK] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X X Director 10% Owner |
||||||
|---|---|---|---|---|---|---|---|---|
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 07/01/2019 |
Officer (give title below)____ Other (specify below) X CEO & Chairman |
||||
| (Street) Miami FL 33137 (City) (State) (Zip) |
4. If Amendment, Date Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) ____ Form filed by One Reporting Person X Form filed by More than One Reporting Person |
| 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 | 3,068,951 | D | ||||||||
| Common Stock | 07/02/2019 | P | 24,945 | A | \$2.415 | 29,902,122 | I | See Footnote (1) |
||
| Common Stock | 07/02/2019 | P | 25,055 | A | \$2.42 | 29,927,177 | I | See Footnote (1) |
||
| Common Stock | 164,234,443 | I | See Footnote (2) |
|||||||
| See |
| See | |||||||
|---|---|---|---|---|---|---|---|
| Common Stock | 20,091,062 | I | Footnote (3) |
| 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) |
\$2.47 | 07/01/2019 | A | 350,000 | (4) | 06/30/2029 | Common Stock |
350,000 | \$ 0 |
350,000 | D |
| Relationships | |||||||||
|---|---|---|---|---|---|---|---|---|---|
| Reporting Owner Name / Address | Director | 10% Owner | Officer | Other | |||||
| FROST PHILLIP M.D. ET AL OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137 |
X | X | CEO & Chairman | ||||||
| Frost Nevada Investments Trust 4400 Biscayne Blvd. Miami, FL 33137 |
X |
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.
Phillip Frost, Individually and as Trustee 07/03/2019
**Signature of Reporting Person Date
* 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).
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.
JOINT FILER INFORMATION
Name: Frost Nevada 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: July 2, 2019
Relationship to Issuer: 10% Owner
FROST NEVADA INVESTMENTS TRUST
By: /s/ Phillip Frost, M.D., as Trustee Phillip Frost, M.D., Trustee
Building tools?
Free accounts include 100 API calls/year for testing.
Have a question? We'll get back to you promptly.