Statement of Changes in Beneficial Ownership (4)
August 27 2020 - 8:41AM
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
*
Rubin Steven 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 __X__ Officer (give title below) _____ Other (specify below) Executive VP-Administration |
(Last)
(First)
(Middle)
OPKO HEALTH, INC., 4400 BISCAYNE BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/26/2020 |
(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)
_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 | 8/26/2020 | | P | | 5000 | A | $3.99 | 6162732 (1) | D | |
Common Stock | 8/26/2020 | | P | | 2500 | A | $3.9872 | 6165232 | D | |
Common Stock | 8/26/2020 | | P | | 2500 | A | $4.01 | 6167732 | D | |
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) | Includes 413,585 shares received as a pro rata distribution from The Frost Group, LLC ("The Frost Group"), of which the reporting person is a member. The Frost Group effected a pro rata distribution of its 20,091,062 shares of the Issuer, pursuant to which reporting person now has direct beneficial ownership of his pro rata share of the securities formerly held by The Frost Group. The reporting person previously reported that the shares were owned directly by The Frost Group. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rubin Steven D OPKO HEALTH, INC. 4400 BISCAYNE BLVD. MIAMI, FL 33137 | X |
| Executive VP-Administration |
|
Signatures
|
Steven D. Rubin | | 8/27/2020 |
**Signature of Reporting Person | Date |
Opko Health (NASDAQ:OPK)
Historical Stock Chart
From Mar 2024 to Apr 2024
Opko Health (NASDAQ:OPK)
Historical Stock Chart
From Apr 2023 to Apr 2024