Major Shareholding Notification • Jan 11, 2024
Major Shareholding Notification
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1/10/24, 4:35 PM Ownership Submission
| FORM 4 | ||
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| Check this box if no longer subject to Section 16. Form 4 or |
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| Form 5 obligations may continue. See |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | |
| Instruction 1(b). Check this box to indicate that a |
Washington, D.C. 20549 | |
| transaction was made pursuant to a contract, |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES | |
| instruction or written plan for the purchase or sale of equity securities of the issuer |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| that is intended to satisfy the affirmative defense conditions of |
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| Rule 10b5-1(c). See Instruction 10. |
| 1. Name and Address of Reporting Person * Gary J. Nabel, M.D., Ph.D. |
2. Issuer Name and Ticker or Trading Symbol OPKO Health, Inc. [ OPK ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) __ X __ Director _____ 10% Owner |
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|---|---|---|---|---|---|---|---|
| (Last) OPKO Health, Inc. 4400 Biscayne Blvd. |
(First) (Middle) (Street) (State) (Zip) |
3. Date of Earliest Transaction (Month/Day/Year) 01/08/2024 |
__ X __ Officer (give title below) _____ Other (specify below) Chief Innovation Officer |
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| Miami, FL 33137 (City) |
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 |
| 1.Title of Security | 2. Transaction | 2A. Deemed | 3. Transaction | 4. Securities Acquired (A) | 5. Amount of Securities | 6. | 7. Nature | |||
|---|---|---|---|---|---|---|---|---|---|---|
| (Instr. 3) | Date | Execution Date, if | Code | or Disposed of (D) | Beneficially Owned Following | Ownership | of Indirect | |||
| (Month/Day/Year) | any | (Instr. 8) | (Instr. 3, 4 and 5) | Reported Transaction(s) | Form: | Beneficial | ||||
| (Month/Day/Year) | (Instr. 3 and 4) | Direct (D) | Ownership | |||||||
| (A) | or Indirect | (Instr. 4) | ||||||||
| or | (I) | |||||||||
| Code | V | Amount | (D) | Price | (Instr. 4) |
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 1/10/24, 4:35 PM Ownership Submission
| Common Stock | 01/08/2024 | P | 108,695 | A | \$ 0.925 |
351,442 | I | See Footnote (1) |
|---|---|---|---|---|---|---|---|---|
| Common Stock | 01/08/2024 | P | 500 | A | \$ 0.9178 |
500 | I | By Spouse (2) |
| Common Stock | 01/08/2024 | P | 106,989 | A | \$ 0.9293 |
107,489 (2) | I | By Spouse (2) |
| Common Stock | 263,079 | D | ||||||
| Common Stock | 19,912,459 | I | See Footnote (3) |
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| Common Stock | 19,912,459 | I | See Footnote (4) |
| 1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable | 7. Title and | 8. Price of | 9. Number of | 10. | 11. Nature | ||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative | Conversion | Date | Execution Date, if | Transaction | of | and 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 | Reported | or Indirect | |||||||||||||
| of (D) | Transaction(s) | (I) | |||||||||||||
| (Instr. 3, 4, | (Instr. 4) | (Instr. 4) | |||||||||||||
| and 5) | |||||||||||||||
| Amount | |||||||||||||||
| Date | Expiration | or | |||||||||||||
| Exercisable | Date | Title | Number | ||||||||||||
| Code | V | (A) | (D) | of Shares |
1. Shares held by the Nabel Family Investments LLC, of which the Reporting Person is the manager with sole investment power and has an approximately 48% interest through the parent trust, the 2009 Nabel Family Children's Trust of which the Reporting Person has sole control, and sole investment power. The Reporting Per disclaims beneficial ownership
of these securities, except to the extent of any pecuniary interest therein and this report shall not be dee admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
**
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who 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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