Form 4/A for OPK OPKO HEALTH, INC.
Accepted 2022-06-22 00:00:00 ET · period of report 2022-05-09 · accession 0001209191-22-038694 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MAI | 2022-06-22 | 2022-05-09 | OPK | Nabel Gary J. | Chief Innovation Off, Dir | A - Grant | — | +39.56M | 19.78M | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-05-09 | A | A | 19,777,514 | — | 19,777,514 | I Held by the GJN 2021 TRUST | — | — | (F1) This Form 4 amendment is being filed to report the acquisition of shares of the Issuer's common stock by the GJN 2021 TRUST and the EGN 2021 TRUST, in each case, pursuant to the ModeX Merger (as defined below), inadvertently omitted in the original Form 4. (F2) Received in exchange for 2,250,000 shares of ModeX Therapeutics, Inc., a Delaware corporation ("ModeX"), held directly by the GJN 2021 TRUST in connection with the Agreement and Plan of Merger, dated as of May 9, 2022, by and among the Issuer, ModeX, Orca Acquisition Sub, Inc., a Delaware corporation and wholly owned subsidiary of the Issuer, and Gary J. Nabel, solely in his capacity as sellers' representative, pursuant to which ModeX became a wholly owned subsidiary of the Issuer (the "ModeX Merger"). (F3) Shares held by the GJN 2021 TRUST for the benefit of the Reporting Person's spouse and descendants, and for which the Reporting Person's spouse serves as co-trustee together with an independent trustee. The Reporting Person's spouse and the independent trustee serve as investment advisors of the trust. 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 | Common | Common Stock | 2022-05-09 | A | A | 19,777,514 | — | 19,777,514 | I Held by the EGN 2021 TRUST | — | — | (F1) This Form 4 amendment is being filed to report the acquisition of shares of the Issuer's common stock by the GJN 2021 TRUST and the EGN 2021 TRUST, in each case, pursuant to the ModeX Merger (as defined below), inadvertently omitted in the original Form 4. (F4) Received in exchange for 2,250,000 shares of ModeX held directly by the EGN 2021 TRUST in connection with the ModeX Merger. (F5) Shares held by the EGN 2021 TRUST for the benefit of the Reporting Person and his descendants, and for which an independent trustee has been appointed. The Reporting Person and the independent trustee serve as investment advisors of the trust. 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. |