Initial Statement of Beneficial Ownership (3)
July 24 2020 - 4:13PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
*
Hernandez Rulfo Fernando |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/22/2020
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3. Issuer Name and Ticker or Trading Symbol
OPKO HEALTH, INC. [OPK]
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(Last)
(First)
(Middle)
4400 BISCAYNE BLVD. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) CAO, Treasurer / |
(Street)
MIAMI, FL 33137
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 87 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | (1) | 6/11/2024 | Common Stock | 40000 | $9.10 | D | |
Stock Option (Right to Buy) | (2) | 3/17/2025 | Common Stock | 60000 | $14.42 | D | |
Stock Option (Right to Buy) | (3) | 3/31/2026 | Common Stock | 75000 | $10.41 | D | |
Stock Option (Right to Buy) | (4) | 6/20/2028 | Common Stock | 50000 | $4.46 | D | |
Stock Option (Right to Buy) | (5) | 6/30/2029 | Common Stock | 100000 | $2.47 | D | |
Stock Option (Right to Buy) | (6) | 6/3/2030 | Common Stock | 100000 | $2.27 | D | |
Explanation of Responses: |
(1) | This option will vest in four equal annual installments beginning June 12, 2015. |
(2) | This option will vest in four equal annual installments beginning March 18, 2016. |
(3) | This option will vest in four equal annual installments beginning April 1, 2017. |
(4) | This option will vest in four equal annual installments beginning June 21, 2019. |
(5) | This option will vest in four equal annual installments beginning July 1, 2020. |
(6) | This option will vest in four equal annual installments beginning June 4, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hernandez Rulfo Fernando 4400 BISCAYNE BLVD. MIAMI, FL 33137 |
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| CAO, Treasurer |
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Signatures
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Rulfo F. Hernandez | | 7/24/2020 |
**Signature of Reporting Person | Date |
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