0001209191-14-027652.txt : 20140415 0001209191-14-027652.hdr.sgml : 20140415 20140415181932 ACCESSION NUMBER: 0001209191-14-027652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140411 FILED AS OF DATE: 20140415 DATE AS OF CHANGE: 20140415 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. STREET 2: SUITE 900 CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6015 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: SUITE 900 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: Rubin Steven D CENTRAL INDEX KEY: 0001381874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33528 FILM NUMBER: 14766125 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-04-11 0 0000944809 Opko Health, Inc. OPK 0001381874 Rubin Steven D OPKO HEALTH, INC. 4400 BISCAYNE BLVD. MIAMI FL 33137 1 1 0 0 Executive VP-Administration Common Stock 2014-04-11 4 M 0 500000 4.88 A 4769855 D Common Stock 2014-04-11 4 M 0 200000 1.65 A 4969855 D Common Stock 2014-04-11 4 F 0 312289 8.87 D 4657566 D Common Stock 2014-04-14 4 S 0 100000 8.577 D 4557566 D Common Stock 2014-04-15 4 S 0 79300 8.1036 D 4478266 D Common Stock 15490546 I See Footnote Stock Option (Right to Buy) 4.88 2014-04-11 4 M 0 500000 0.00 D 2014-05-03 Common Stock 500000 0 D Stock Option (Right to Buy) 1.65 2014-04-11 4 M 0 200000 0.00 D 2015-04-28 Common Stock 200000 0 D Stock Option (Right to Buy) 8.37 2014-04-14 4 A 0 350000 0.00 A 2024-04-13 Common Stock 350000 350000 D Represents number of shares withheld by the Company at the direction of the reporting person for the payment of exercise price in connection with the exercise of stock options. The reporting person has retained the net number of shares issued upon the exercise of the option (387,711 shares). Closing market price of the Company's common stock on the transaction date. The shares sold on April 14 and 15, 2014 were sold to pay/satisfy federal and/or state tax withholding in connection with a stock option exercise on April 11, 2014. 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 $8.20 to $8.82, 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. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.40, inclusive. The reporting person undertakes to provide to 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 (5) to this Form 4. These securities are owned directly by 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 the securities for purposes of Section 16 or for any other purpose. The options were granted on May 3, 2007 and vested in four equal installments beginning on May 3, 2008. The options were granted on April 28, 2008 and vested in four equal installments beginning on April 28, 2009. This option will vest in four equal annual installments beginning April 14, 2015. Steve D. Rubin 2014-04-15