SEC Form 4 · accession 0001209191-17-018833
OPKO HEALTH, INC. · OPK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Paganelli
Director
Period of report
Mar 6, 2017
Accepted (ET)
Mar 7, 2017 · 5:08 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 | Mar 6, 2017 | M | 20,000 | $3.43 | A | 359,355 | D | |
| Common StockF1,F2 | Mar 6, 2017 | F | 9,015 | $7.61 | D | 350,340 | D | |
| Common StockF3 | holding | — | — | — | 4,175 | 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) | $3.43 | Mar 6, 2017 | M | 20,000 | D | Jun 9, 2012 | Jun 8, 2018 | 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 (10,985 shares).
- F2Closing market price of the Company's common stock on the transaction date.
- F3These securities are owned by Mr. Paganelli's spouse. 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 purposes.