SEC Form 4 · accession 0001209191-17-053409
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 19, 2017
Accepted (ET)
Sep 20, 2017 · 6:12 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 StockF1 | Sep 19, 2017 | P | 100 | $5.9975 | A | 380,100 | I | See Footnote |
| Common StockF1 | Sep 19, 2017 | P | 4,900 | $6.00 | A | 385,000 | I | See Footnote |
| Common StockF1 | Sep 19, 2017 | P | 100 | $6.005 | A | 385,100 | I | See Footnote |
| Common StockF1 | Sep 19, 2017 | P | 9,900 | $6.01 | A | 395,000 | I | See Footnote |
| Common Stock | holding | — | — | — | 3,068,951 | D | ||
| Common StockF2 | holding | — | — | — | 164,234,443 | I | See Footnote | |
| Common StockF3 | 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.