Statement of Changes in Beneficial Ownership (4)
December 29 2020 - 07:34AM
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 * FROST PHILLIP MD ET
AL |
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 __X__
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CEO & Chairman |
(Last)
(First)
(Middle)
OPKO HEALTH, INC., 4400 BISCAYNE BLVD. |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/28/2020
|
(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) ___
Form filed by One Reporting Person
_ X _ 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 |
|
|
|
|
|
|
|
3068951 |
D |
|
Common Stock |
12/28/2020 |
|
P |
|
100000 |
A |
$3.96 |
191171694 |
I |
See Footnote (1) |
Common Stock |
12/28/2020 |
|
P |
|
50000 |
A |
$3.98 |
191221694 |
I |
See Footnote (1) |
Common Stock |
12/28/2020 |
|
P |
|
150000 |
A |
$4.03 |
191371694 |
I |
See Footnote (1) |
Common Stock |
|
|
|
|
|
|
|
30127177 |
I |
See Footnote (2) |
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 |
Explanation of
Responses: |
(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 five 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. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
FROST PHILLIP MD ET AL
OPKO HEALTH, INC.
4400 BISCAYNE BLVD.
MIAMI, FL 33137 |
X |
X |
CEO & Chairman |
|
Frost Gamma Investments Trust
4400 BISCAYNE BLVD.
MIAMI, FL 33137 |
|
X |
|
|
Signatures
|
Phillip Frost, M.D., Individually and as
Trustee |
|
12/29/2020 |
**Signature of Reporting
Person |
Date |