SEC Form 4 · accession 0001209191-17-001677
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
Jan 4, 2017
Accepted (ET)
Jan 5, 2017 · 11:11 am 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 4, 2017 | M | 112,500 | $7.61 | A | 24,713,133 | 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F5 | $7.61 | Jan 4, 2017 | M | 112,500 | D | — | Mar 17, 2020 | Common Stock | 112,500 | 112,500 | D |
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.
- F5The options were granted on March 18, 2013 and vest in four equal installments beginning on March 18, 2014.