SEC Form 4 · accession 0001209191-17-005004
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 19, 2017
Accepted (ET)
Jan 23, 2017 · 7:30 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 19, 2017 | M | 20,000 | $2.05 | A | 304,088 | D | |
| Common Stock | Jan 19, 2017 | M | 20,000 | $3.43 | A | 324,088 | D | |
| Common Stock | Jan 19, 2017 | M | 20,000 | $4.72 | A | 344,088 | D | |
| Common StockF1,F2 | Jan 19, 2017 | F | 23,315 | $8.75 | D | 320,773 | 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) | $2.05 | Jan 19, 2017 | M | 20,000 | D | May 27, 2011 | May 26, 2017 | Common Stock | 20,000 | 0 | D |
| Stock Option (Right to Buy) | $3.43 | Jan 19, 2017 | M | 20,000 | D | Jun 9, 2012 | Jun 8, 2018 | Common Stock | 20,000 | 0 | D |
| Stock Option (Right to Buy) | $4.72 | Jan 19, 2017 | M | 20,000 | D | Jun 14, 2013 | Jun 13, 2019 | 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 (36,685 shares).
- F2Closing market price of the Company's common stock on the transaction date.