AI assistant
OPKO Health Inc. — Director's Dealing 2021
Aug 10, 2021
6963_rns_2021-08-10_7da16c1a-ecd8-42b8-98b2-f8c64321d3da.pdf
Director's Dealing
Open in viewerOpens in your device viewer
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
| Hsiao, Ph.D. | 1. Name and Address of Reporting Person Jane |
H | 2. Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. [OPK] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ____ 10% Owner |
||||
|---|---|---|---|---|---|---|---|---|
| (Last) | (First) (Middle) OPKO Health, Inc. 4400 Biscayne Blvd. |
3. Date of Earliest Transaction (Month/Day/Year) 08/09/2021 |
X Director Officer (give title below)____ Other (specify below) X Vice Chairman & CTO |
|||||
| (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) X 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 (Month/Day/Year) |
2A. Deemed Execution Date, if any (Month/Day/Year) |
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 |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | (Instr. 3 and 4) | Direct (D) or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
|||
| Common Stock | 08/09/2021 | P | 10 | A | \$3.73 | (1) 27,599,870 |
D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable and | 7. Title and | 8. Price of | 9. Number of | 10. | 11. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative | Conversion | Date | Execution Date, if | Transaction | of | Expiration Date | Amount of | Derivative | Derivative | Ownership | of Indirect | ||||
| Security | or Exercise | (Month/Day/Year) | any | Code | Derivative | (Month/Day/Year) | Underlying | Security | Securities | Form of | Beneficial | ||||
| (Instr. 3) | Price of | (Month/Day/Year) | (Instr. 8) | Securities | Securities | (Instr. 5) | Beneficially | Derivative | Ownership | ||||||
| Derivative | Acquired | (Instr. 3 and 4) | Owned | Security: | (Instr. 4) | ||||||||||
| Security | (A) or | Following | Direct (D) | ||||||||||||
| Disposed of | Reported | or Indirect | |||||||||||||
| (D) | Transaction(s) | (I) | |||||||||||||
| (Instr. 3, 4, | (Instr. 4) | (Instr. 4) | |||||||||||||
| and 5) | |||||||||||||||
| Amount | |||||||||||||||
| or | |||||||||||||||
| Date | Expiration | Number | |||||||||||||
| Code | V | (A) | (D) | Exercisable | Date | Title | of Shares |
Explanation of Responses:
(1) Includes 3,124,713 shares received as a pro rata distribution from The Frost Group, LLC ("The Frost Group"), of which the reporting person was a member. The Frost Group effected a pro rata distribution of its 20,091,062 shares of the Issuer, pursuant to which the reporting person now has direct beneficial ownership of her pro rata share of the securities formerly held by The Frost Group. The reporting person previously reported that the shares were owned directly by The Frost Group.
Jane H. Hsiao, Ph.D. 08/10/2021
**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.