Statement of Changes in Beneficial Ownership (4)
January 26 2021 - 4:07PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
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
*
Fishel Robert Scott |
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 _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
4400 BISCAYNE BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/25/2021 |
(Street)
MIAMI, FL 33137
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 1/25/2021 | | M | | 40000 | A | $3.04 | 40000 | D | |
Common Stock | 1/25/2021 | | M | | 20000 | A | $2.03 | 60000 | D | |
Common Stock | | | | | | | | 4120728 | I | See Footnote (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $3.04 | 1/25/2021 | | M | | | 40000 | 4/3/2019 | 4/2/2028 | Common Stock | 40000 | $0.00 | 0 | D | |
Stock Option (Right to Buy) | $2.03 | 1/25/2021 | | M | | | 20000 | 6/20/2020 | 6/19/2029 | Common Stock | 20000 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | These securities are held by ALSAR Ltd. Partnership, of which Dr. Fishel is the President and CEO. The general partner of ALSAR Ltd. Partnership is SARAL Corporation. Dr. Fishel is the sole shareholder and the sole and exclusive beneficiary of SARAL Corporation. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fishel Robert Scott 4400 BISCAYNE BLVD. MIAMI, FL 33137 | X |
|
|
|
Signatures
|
Adam Logal, Attorney-In-Fact | | 1/26/2021 |
**Signature of Reporting Person | Date |
Opko Health (NASDAQ:OPK)
Historical Stock Chart
From Aug 2024 to Sep 2024
Opko Health (NASDAQ:OPK)
Historical Stock Chart
From Sep 2023 to Sep 2024