SEC Form 4 · accession 0001209191-16-093688
OPKO HEALTH, INC. · OPK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Baron
Director
Period of report
Jan 22, 2016
Accepted (ET)
Jan 26, 2016 · 8:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000944809
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 22, 2016 | M | 5,000 | $0.41 | A | 300,812 | D | |
| Common Stock | Jan 22, 2016 | M | 5,000 | $0.39 | A | 305,812 | D | |
| Common Stock | Jan 22, 2016 | M | 20,000 | $1.54 | A | 325,812 | D | |
| Common StockF1,F2 | Jan 22, 2016 | F | 4,224 | $8.24 | D | 321,588 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $0.41 | Jan 22, 2016 | M | 5,000 | D | Apr 3, 2006 | Apr 2, 2016 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy) | $0.39 | Jan 22, 2016 | M | 5,000 | D | Jul 3, 2006 | Jul 3, 2016 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy) | $1.54 | Jan 22, 2016 | M | 20,000 | D | Jun 10, 2010 | Jun 9, 2016 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Represents number of shares withheld by the Company at the direction of the reporting person for the payment of exercise price. No shares of Common Stock were sold by the reporting person in connection with this transaction. The reporting person has retained the net number of shares issued upon the exercise of the option (25,776 shares).
- F2Closing market price of the Company's common stock on the transaction date.