Sec Form 4 Filing - FROST PHILLIP MD ET AL @ Opko Health, Inc. - 2017-09-14

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
FROST PHILLIP MD ET AL
2. Issuer Name and Ticker or Trading Symbol
Opko Health, Inc. [ OPK]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
CEO & Chairman
(Last) (First) (Middle)
OPKO HEALTH, INC., 4400 BISCAYNE BLVD.
3. Date of Earliest Transaction (MM/DD/YY)
09/14/2017
(Street)
MIAMI, FL33137
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 09/14/2017 P 200 A $ 5.925 200 I See Footnote ( 1 )
Common Stock 09/14/2017 P 18,143 A $ 5.93 18,343 I See Footnote ( 1 )
Common Stock 09/14/2017 P 31,476 A $ 5.94 49,819 I See Footnote ( 1 )
Common Stock 09/14/2017 P 5,250 A $ 5.95 55,069 I See Footnote ( 1 )
Common Stock 09/14/2017 P 4,931 A $ 5.96 60,000 I See Footnote ( 1 )
Common Stock 09/14/2017 P 26,210 A $ 5.97 86,210 I See Footnot e ( 1 )
Common Stock 09/14/2017 P 1,400 A $ 5.975 87,610 I See Footnote ( 1 )
Common Stock 09/14/2017 P 800 A $ 5.9775 88,410 I See Footnote ( 1 )
Common Stock 09/14/2017 P 61,390 A $ 5.98 149,800 I See Footnote ( 1 )
Common Stock 09/14/2017 P 889 A $ 5.985 150,689 I See Footnote ( 1 )
Common Stock 09/14/2017 P 29,311 A $ 5.99 180,000 I See Footnote ( 1 )
Common Stock 09/14/2017 P 1,300 A $ 6.005 181,300 I See Footnote ( 1 )
Common Stock 09/14/2017 P 400 A $ 6.0075 181,700 I See Footnote ( 1 )
Common Stock 09/14/2017 P 14,200 A $ 6.01 195,900 I See Footnote ( 1 )
Common Stock 09/14/2017 P 390 A $ 6.015 196,290 I See Footnote ( 1 )
Common Stock 09/14/2017 P 43,710 A $ 6.02 240,000 I See Footnote ( 1 )
Common Stock 09/14/2017 P 200 A $ 6.025 240,200 I See Footnote ( 1 )
Common Stock 09/14/2017 P 19,800 A $ 6.03 260,000 I See Footnote ( 1 )
Common Stock 164,234,443 I See Footnote ( 2 )
Common Stock 20,091,062 I See Footnote ( 3 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
FROST PHILLIP MD ET AL
OPKO HEALTH, INC.
4400 BISCAYNE BLVD.
MIAMI, FL33137
X X CEO & Chairman
Frost Gamma Investments Trust
4400 BISCAYNE BLVD.
MIAMI, FL33137
X
Frost Nevada Investments Trust
4400 BISCAYNE BLVD.
MIAMI, FL33137
X
Signatures
Phillip Frost, M.D., Individually and as Trustee 09/15/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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 five 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.
( 2 )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.
( 3 )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.

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