OPK Acquired Common Stock
3,068,951
D
Common Stock
04/11/2017
P
600
A
$7.47
160,974,043
I
See Footnote(1)
Common Stock
04/11/2017
P
6,900
A
$7.48
160,980,943
I
See Footnote(1)
Common Stock
04/11/2017
P
1,500
A
$7.485
160,982,443
I
See Footnote(1)
Common Stock
04/11/2017
P
2,900
A
$7.49
160,985,343
I
See Footnote(1)
Common Stock
04/11/2017
P
1,000
A
$7.495
160,986,343
I
See Footnote(1)
Common Stock
04/11/2017
P
1,000
A
$7.5
160,987,343
I
See Footnote(1)
Common Stock
04/11/2017
P
400
A
$7.525
160,987,743
I
See Footnote(1)
Common Stock
04/11/2017
P
3,700
A
$7.53
160,991,443
I
See Footnote(1)
Common Stock
20,091,062
ITable I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
2. Transaction Date (Month/Day/Year)
2A. Deemed Execution Date, if any (Month/Day/Year)
3. Transaction Code (Instr. 8)
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code
V
Amount
(A) or (D)
Price
Common Stock
3,068,951
D
Common Stock
04/10/2017
P
5,200
A
$7.57
160,945,643
I
See Footnote(1)
Common Stock
04/10/2017
P
5,800
A
$7.575
160,951,443
I
See Footnote(1)
Common Stock
04/10/2017
P
2,000
A
$7.58
160,953,443
I
See Footnote(1)
Common Stock
04/10/2017
P
1,295
A
$7.585
160,954,738
I
See Footnote(1)
Common Stock
04/10/2017
P
3,205
A
$7.59
160,957,943
I
See Footnote(1)
Common Stock
04/10/2017
P
1,500
A
$7.6
160,959,443
I
See Footnote(1)
Common Stock
04/10/2017
P
3,500
A
$7.61
160,962,943
I
See Footnote(1)
Common Stock
04/10/2017
P
2,000
A
$7.62
160,964,943
I
See Footnote(1)
Common Stock
04/10/2017
P
4,000
A
$7.63
160,968,943
I
See Footnote(1)
Common Stock
04/10/2017
P
2,500
A
$7.64
160,971,443
I
See Footnote(1)
Common Stock
04/10/2017
P
1,000
A
$7.66
160,972,443
I
See Footnote(1)
Common Stock
04/10/2017
P
200
A
$7.675
160,972,643
I
See Footnote(1)
Common Stock
04/10/2017
P
800
A
$7.68
160,973,443
I
See Footnote(1)
Common Stock
20,091,062
I
See Footnote(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
3A. Deemed Execution Date, if any (Month/Day/Year)
4. Transaction Code (Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date (Month/Day/Year)
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
8. Price of Derivative Security (Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code
V
(A)
(D)
Date Exercisable
Expiration Date
Title
Amount or Number of Shares
1. Name and Address of Reporting Person*
FROST PHILLIP MD ET AL
(Last)
(First)
(Middle)
OPKO HEALTH, INC.
4400 BISCAYNE BLVD.
(Street)
MIAMI
FL
33137
(City)
(State)
(Zip)
1. Name and Address of Reporting Person*
Frost Gamma Investments Trust
(Last)
(First)
(Middle)
4400 BISCAYNE BLVD.
(Street)
MIAMI
FL
33137
(City)
(State)
(Zip)
Explanation of Responses:
1. The 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.
2. These 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.
Remarks:
See Footnote
