Filing Details
- Accession Number:
- 0001209191-17-020904
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-15 18:31:52
- Reporting Period:
- 2017-03-13
- Filing Date:
- 2017-03-15
- Accepted Time:
- 2017-03-15 18:31:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 944809 | Opko Health Inc. | OPK | Pharmaceutical Preparations (2834) | 752402409 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1356197 | Adam Logal | 4400 Biscayne Blvd. Miami FL 33137 | Sr. Vice President, Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-03-13 | 189,207 | $0.56 | 234,996 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-03-13 | 75,000 | $2.36 | 309,996 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-03-13 | 35,728 | $7.92 | 274,268 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-03-14 | 112,975 | $8.07 | 161,293 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-03-13 | 189,207 | $0.00 | 189,207 | $0.56 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-03-13 | 75,000 | $0.00 | 75,000 | $2.36 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-03-15 | No | 4 | M | Direct | |
| 0 | 2017-04-13 | No | 4 | M | Direct |
Footnotes
- Represents number of shares withheld by the Company at the direction of the reporting person for the payment of exercise price. No shares of Common Stock were sold by the reporting person in connection with this transaction. The reporting person has retained the net number of shares issued upon the exercise of the option (228,479 shares).
- Closing market price of the Company's common stock on the transaction date.
- All of the shares reported as disposed of in this Form 4 were sold to pay/satisfy federal and/or state tax withholding in connection with a stock option exercise on March 13, 2017. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.02 to $8.21, 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 sold at each separate price within the range set forth in footnote (4) to this Form 4.
- This option became exercisable in forty-eight (48) equal monthly installments until fully vested on March 15, 2011.
- The options were granted on April 14, 2010 and vested in four equal installments beginning on April 14, 2011.
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