Major Shareholding Notification • Mar 13, 2019
Major Shareholding Notification
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Washington, D.C. 20549
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). Form 3 Holdings Reported Form 4 Transactions Reported
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 | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||||||
|---|---|---|---|---|---|---|---|---|
| Yu, M.D., PhD. Alice Lin-Tsing |
OPKO Health, Inc. [OPK] | (Check all applicable) ____ 10% Owner |
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| (Last) (First) (Middle) OPKO Health, Inc., 4400 Biscayne Blvd. |
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year) 12/31/2018 |
X Director _ Officer (give title below)_ Other (specify below) |
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| (Street) | 4. If Amendment, Date Original Filed (Month/Day/Year) |
6. Individual or Joint/Group Reporting (check applicable line) |
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| Miami | FL | 33137 | ||||||
| (City) | (State) | (Zip) | X Form filed by One Reporting Person ____ 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) |
(Instr. 3, 4 and 5) | 4. Securities Acquired (A) or Disposed of (D) |
5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year |
6. Ownership Form: |
7. Nature of Indirect Beneficial |
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|---|---|---|---|---|---|---|---|---|---|
| (Month/Day/Year) | 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 | 07/10/2015 | G | 6,780 | D | \$0 | 93,220 | D | ||
| Common Stock | 02/05/2016 | G | 13,270 | D | \$0 | 79,950 | D | ||
| Common Stock | 02/13/2017 | G | 13,460 | D | \$0 | 66,490 | D |
| 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 at End of Issuer's |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Fiscal Year (Instr. 4) |
(Instr. 4) |
Adam Logal, Attorney-In-Fact 03/11/2019
**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 provided 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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