Frost Phillip MD Et Al's Form 4/A amendment
AmendedOpko Health, Inc.OPK · filed Nov 20, 2024
- Accession no.
- 0000950170-24-129440
- Filed
- Nov 20, 2024, 7:21 PM ET
- Trade date
- Nov 8, 2024
- Filing delay
- 12 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Nov 8, 2024
This filing lists 1 non-derivative transaction. Open-market purchases total $421.5K. It was filed 12 days after the trade.
This amendment replaces 0000950170-24-124261 (filed Nov 8, 2024).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Frost Phillip MD Et AlCIK 0000898860 | Director, Officer (CEO & Chairman), 10% Owner |
| Frost Gamma Investments TrustCIK 0001380896 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2024 | Common Stock | PPurchaseAcquired | +280,183 | $1.50F1 | +$421,535.32 | 211,512,405 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.455 to $1.545, inclusive. The reporting person undertakes to provide to OPKO Health, Inc. (the "Company"), any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F2
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.
- F3
These 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 seven 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.
- F4
Due to a scrivener's error, the total number of securities directly owned by the reporting person was erroneously reported on a Form 4 filed on November 8, 2024. This Form 4 corrects the total number of the securities owned directly by the reporting person. No other information has changed.