SEC Form 4 · accession 0001209191-16-111787

OPKO HEALTH, INC. · OPK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

Officer — CEO & Chairman · Director · 10% Owner

10% Owner

Period of report

Apr 1, 2016

Accepted (ET)

Apr 1, 2016 · 5:55 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^F1	Apr 1, 2016	P	1,000	$10.20	A	159,410,243	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	2,000	$10.23	A	159,412,243	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	3,600	$10.24	A	159,415,843	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	1,100	$10.32	A	159,416,943	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	2,700	$10.33	A	159,419,643	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	200	$10.34	A	159,419,843	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	2,000	$10.40	A	159,421,843	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	176	$10.405	A	159,422,019	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	4,824	$10.41	A	159,426,843	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	1,000	$10.42	A	159,427,843	I	See Footnote
Common Stock^F1	Apr 1, 2016	P	5,000	$10.43	A	159,432,843	I	See Footnote
Common Stock	holding	—	—		—	3,068,951	D
Common Stock^F2	holding	—	—		—	20,091,062	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F3	$10.41	Apr 1, 2016	A	500,000	A	—	Mar 31, 2026	Common Stock	500,000	500,000	D

F1The 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.
F2These securities are owned directly by The Frost Group, LLC. Frost Gamma Investments Trust is a principal member of 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 these securities for purposes of Section 16 or for any other purpose.
F3This option will vest in four equal annual installments beginning April 1, 2017.