0001209191-15-008081.txt : 20150202 0001209191-15-008081.hdr.sgml : 20150202 20150202060038 ACCESSION NUMBER: 0001209191-15-008081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150131 FILED AS OF DATE: 20150202 DATE AS OF CHANGE: 20150202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Opko Health, Inc. CENTRAL INDEX KEY: 0000944809 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 752402409 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BLVD. CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-4138 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. CITY: MIAMI STATE: FL ZIP: 33137 FORMER COMPANY: FORMER CONFORMED NAME: eXegenics Inc DATE OF NAME CHANGE: 20040505 FORMER COMPANY: FORMER CONFORMED NAME: EXEGENICS INC DATE OF NAME CHANGE: 20011114 FORMER COMPANY: FORMER CONFORMED NAME: CYTOCLONAL PHARMACEUTICS INC /DE DATE OF NAME CHANGE: 19950503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Gamma Investments Trust CENTRAL INDEX KEY: 0001380896 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33528 FILM NUMBER: 15564794 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 FORMER NAME: FORMER CONFORMED NAME: Frost Gamma Investment Trust DATE OF NAME CHANGE: 20061113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FROST PHILLIP MD ET AL CENTRAL INDEX KEY: 0000898860 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33528 FILM NUMBER: 15564795 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137-3227 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-01-31 0 0000944809 Opko Health, Inc. OPK 0000898860 FROST PHILLIP MD ET AL OPKO HEALTH, INC. 4400 BISCAYNE BLVD. MIAMI FL 33137 1 1 1 0 CEO & Chairman 0001380896 Frost Gamma Investments Trust 4400 BISCAYNE BLVD. MIAMI FL 33137 0 0 1 0 Common Stock 2012377 D Common Stock 2015-01-31 4 M 0 3080530 1.0466 A 148110559 I See Footnote Common Stock 2015-01-31 4 M 0 115046 1.0466 A 148225605 I See Footnote Common Stock 2015-01-31 4 M 0 64242 1.0466 A 148289847 I See Footnote Common Stock 2015-01-31 4 M 0 6730454 A 155020301 I See Footnote Common Stock 2015-01-31 4 F 0 710504 11.777 D 154309797 I See Footnote Common Stock 2015-01-31 4 M 0 81085 0.0019 A 15571631 I See Footnote Common Stock 2015-01-31 4 M 0 648700 0.3854 A 16220331 I See Footnote Common Stock 2015-01-31 4 M 0 4000000 0.4984 A 20220331 I See Footnote Common Stock 2015-01-31 4 M 0 22124 0.6728 A 20242455 I See Footnote Common Stock 2015-01-31 4 M 0 22124 0.8473 A 20264579 I See Footnote Common Stock 2015-01-31 4 M 0 22125 1.0466 A 20286704 I See Footnote Common Stock 2015-01-31 4 F 0 174119 11.777 D 20112585 I See Footnote Common Stock 2015-01-31 4 F 0 21523 11.616 D 20091062 I See Footnote Warrant (Right to Buy) 0.0019 2015-01-31 4 M 0 210821 1.2481 D 2008-05-08 2017-07-01 Common Stock 210821 0 I See Footnote Warrant (Right to Buy) 0.6728 2015-01-31 4 M 0 115045 0.5772 D 2008-05-08 2017-03-27 Common Stock 115045 0 I See Footnote Warrant (Right to Buy) 0.8473 2015-01-31 4 M 0 115045 0.4027 D 2008-05-08 2017-03-27 Common Stock 115045 0 I See Footnote Warrant (Right to Buy) 1.0466 2015-01-31 4 M 0 115046 0.2034 D 2008-05-08 2017-03-27 Common Stock 115046 0 I See Footnote Warrant (Right to Buy) 0.6728 2015-01-31 4 M 0 64242 0.00 D 2008-07-30 2017-03-27 Common Stock 64242 0 I See Footnote Warrant (Right to Buy) 0.8473 2015-01-31 4 M 0 64242 0.00 D 2008-07-30 2017-03-27 Common Stock 64242 0 I See Footnote Warrant (Right to Buy) 1.0466 2015-01-31 4 M 0 64242 0.00 D 2008-07-30 2017-03-27 Common Stock 64242 0 I See Footnote Warrant (Right to Buy) 0.6728 2015-01-31 4 M 0 3080529 0.00 D 2007-03-27 2017-03-27 Common Stock 3080529 0 I See Footnote Warrant (Right to Buy) 0.8473 2015-01-31 4 M 0 3080530 0.00 D 2007-03-27 2017-03-27 Common Stock 3080530 0 I See Footnote Warrant (Right to Buy) 1.0466 2015-01-31 4 M 0 3080530 0.00 D 2007-03-27 2017-03-27 Common Stock 3080530 0 I See Footnote Warrant (Right to Buy) 0.4984 2015-01-31 4 M 0 4000000 0.00 D 2007-03-27 2017-03-27 Common Stock 4000000 0 I See Footnote Warrant (Right to Buy) 0.0019 2015-01-31 4 M 0 81085 0.00 D 2007-03-27 2017-01-11 Common Stock 81085 0 I See Footnote Warrant (Right to Buy) 38.54 2015-01-31 4 M 0 6487 0.00 D 2007-03-27 2017-01-11 Common Stock 648700 0 I See Footnote Warrant (Right to Buy) 0.6728 2015-01-31 4 M 0 22124 0.00 D 2007-03-27 2017-03-27 Common Stock 22124 0 I See Footnote Warrant (Right to Buy) 0.8473 2015-01-31 4 M 0 22124 0.00 D 2007-03-27 2017-03-27 Common Stock 22124 0 I See Footnote Warrant (Right to Buy) 1.0466 2015-01-31 4 M 0 22125 0.00 D 2007-03-27 2017-03-27 Common Stock 22125 0 I See Footnote 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. These shares were acquired as a result of a warrant exercise with exercise prices ranging from $.0019 to $.8473, 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 acquired at each separate price within the range set forth in footnote (2) to this Form 4. 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 warrants (9,279,768 shares). Average of closing market price of the Company's common stock on the three days prior to the transaction date. 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. Each of the 6,487 warrants is exercisable into 100 shares of common stock, resulting in a total of 648,700 shares of common stock. Table II reflects the exercise price of $38.54 per warrant and Table I reflects the corresponding price of $0.3854 per share of common stock. 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 warrant (3,973,339 shares). 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 (627,177 shares). Average of closing market price of the Company's common stock on the five days prior to the transaction date. Phillip Frost, M.D., Individually and as Trustee 2015-02-02 EX-99 2 attachment1.htm EX-99 DOCUMENT

JOINT FILER INFORMATION

Name:	Frost Gamma Investments Trust

Address:
4400 Biscayne Blvd.
	Miami, FL  33137

Designated Filer:	Phillip Frost, M.D.

Issuer Name and Ticker Symbol:	OPKO Health, Inc. (OPK)

Date of Earliest Transaction:	January 31,2015

Relationship to Issuer:	10% Owner


FROST GAMMA INVESTMENTS TRUST

	By:	/s/ Phillip Frost, M.D., as Trustee
	Phillip Frost, M.D., Trustee