Director's Dealing • Aug 10, 2023
Director's Dealing
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Washington, D.C. 20549
OMB APPROVAL
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Check this box if no longer subject to
Instruction 1(b).
Section 16. Form 4 or
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
| Frost, M.D. ET AL, |
1. Name and Address of Reporting Person Phillip |
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 |
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|---|---|---|---|---|---|---|---|
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 08/09/2023 |
Officer (give title below)____ Other (specify below) X CEO & Chairman |
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| (Street) Miami |
FL | 33137 | 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 |
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| (City) | (State) | (Zip) | Rule 10b5-1(c) Transaction Indication Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
| 1.Title of Security (Instr. 3) |
2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any |
3. Transaction Code (Instr. 8) |
(Instr. 3, 4 and 5) | 4. Securities Acquired (A) or Disposed of (D) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) |
6. Ownership Form: |
7. Nature of Indirect Beneficial |
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|---|---|---|---|---|---|---|---|---|---|---|
| (Month/Day/Year) | Code | V | Amount | (A) or (D) |
Price | (Instr. 3 and 4) | Direct (D) or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
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| Common Stock | 3,068,951 | D | ||||||||
| Common Stock | 08/09/2023 | P | 5,405 | A | \$1.805 | 200,687,099 | I | See Footnote (1) |
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| Common Stock | 08/09/2023 | P | 20,843 | A | \$1.81 | 200,707,942 | I | See Footnote |
| (1) | ||||||||
|---|---|---|---|---|---|---|---|---|
| Common Stock | 08/09/2023 | P | 25,752 | A | \$1.815 | 200,733,694 | I | See Footnote (1) |
| Common Stock | 08/09/2023 | P | 27,800 | A | \$1.82 | 200,761,494 | I | See Footnote (1) |
| Common Stock | 08/09/2023 | P | 6,389 | A | \$1.825 | 200,767,883 | I | See Footnote (1) |
| Common Stock | 08/09/2023 | P | 13,811 | A | \$1.83 | 200,781,694 | I | See Footnote (1) |
| Common Stock | 30,127,177 | I | See Footnote (2) |
| 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 |
| Relationships | ||||||||
|---|---|---|---|---|---|---|---|---|
| Reporting Owner Name / Address | Director | 10% Owner | Officer | Other | ||||
| Frost, M.D. ET AL, Phillip OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137 |
X | X | CEO & Chairman | |||||
| Frost Gamma Investments Trust OPKO Health, Inc. 4400 Biscayne Blvd. Miami, FL 33137 |
X |
(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 held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. 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 **Signature of Reporting Person |
08/10/2023 Date |
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| * 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. |
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| JOINT FILER INFORMATION | ||
| Name: Frost Gamma Investments Trust | ||
| Address: 4400 Biscayne Blvd. Miami, FL 33137 |
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| Designated Filer: Phillip Frost, M.D. | ||
| Issuer Name and Ticker Symbol: OPKO Health, Inc. (OPK) | ||
| Date of Earliest Transaction: August 9, 2023 | ||
| Relationship to Issuer: 10% Owner |
FROST GAMMA INVESTMENTS TRUST
By: /s/ Phillip Frost, M.D., as Trustee
Phillip Frost, M.D., Trustee
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