SEC Form 4 · accession 0001209191-16-108505
OPKO HEALTH, INC. · OPK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jane Ph D Hsiao
Officer — Vice Chairman & CTO · Director
Period of report
Mar 8, 2016
Accepted (ET)
Mar 15, 2016 · 4:20 pm EDT
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 | Mar 8, 2016 | P | 1,200 | $10.01 | A | 24,592,233 | D | |
| Common Stock | Mar 9, 2016 | P | 1,200 | $9.99 | A | 24,593,433 | D | |
| Common Stock | Mar 10, 2016 | P | 300 | $9.80 | A | 24,593,733 | D | |
| Common Stock | Mar 10, 2016 | P | 900 | $9.83 | A | 24,594,633 | D | |
| Common StockF1 | holding | — | — | — | 4,617,404 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 1,000,000 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 1,000,000 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 20,091,062 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities are owned directly by Hsu Gamma Investment, L.P. Dr. Hsiao is the general partner of Hsu Gamma Investment, 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 the securities for purposes of Section 16 or for any other purpose.
- F2The securities are held by The Chin Hsiao Family Trust A, of which Jane H. Hsiao, Ph.D. is the trustee.
- F3The securities are held by The Chin Hsiao Family Trust B, of which Jane H. Hsiao, Ph.D. is the trustee.
- F4These securities are owned directly by The Frost Group, LLC. 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 the securities for purposes of Section 16 or for any other purpose.