SEC Form 4 · accession 0001209191-17-052902

OPKO HEALTH, INC. · OPK

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

Reporting owners

Phillip Md Et Al Frost

Officer — CEO & Chairman · Director · 10% Owner

Frost Gamma Investments Trust

10% Owner

Frost Nevada Investments Trust

10% Owner

Period of report

Sep 14, 2017

Accepted (ET)

Sep 15, 2017 · 8:30 am 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	Sep 14, 2017	P	200	$5.925	A	200	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	18,143	$5.93	A	18,343	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	31,476	$5.94	A	49,819	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	5,250	$5.95	A	55,069	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	4,931	$5.96	A	60,000	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	26,210	$5.97	A	86,210	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	1,400	$5.975	A	87,610	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	800	$5.9775	A	88,410	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	61,390	$5.98	A	149,800	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	889	$5.985	A	150,689	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	29,311	$5.99	A	180,000	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	1,300	$6.005	A	181,300	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	400	$6.0075	A	181,700	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	14,200	$6.01	A	195,900	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	390	$6.015	A	196,290	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	43,710	$6.02	A	240,000	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	200	$6.025	A	240,200	I	See Footnote
Common Stock^F1	Sep 14, 2017	P	19,800	$6.03	A	260,000	I	See Footnote
Common Stock	holding	—	—		—	3,068,951	D
Common Stock^F2	holding	—	—		—	164,234,443	I	See Footnote
Common Stock^F3	holding	—	—		—	20,091,062	I	See Footnote

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, 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 these securities for purposes of Section 16 or for any other purpose.
F2The 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.
F3These 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.