SEC Form 4 · accession 0001209191-18-014956
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
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 4:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000944809
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 5% Convertible Promissory NoteF4,F1,F2,F3 | $5.00 | Feb 27, 2018 | A | — | A | — | Feb 27, 2023 | Common Stock | 1,000,000 | — | D |
Explanation of responses
- F1The Reporting Person has the option, from time to time, to convert all or any portion of the outstanding principal balance of the 5% Convertible Promissory Note (the "Note"), together with accrued and unpaid interest thereon, into shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), at a conversion price of $5.00 per share of Common Stock.
- F2The Note may be converted at any time prior to the Maturity Date.
- F3The Notes will mature on February 27, 2023, unless repurchased, redeemed or converted prior to such date.
- F4Based on the principal amount of the Note, excluding shares issuable upon conversion of accrued and unpaid interest as of the date of conversion.