Gary J. Nabel - May 9, 2022 Form 4/A - Amendment Insider Report for OPKO HEALTH, INC. (OPK)

Role
Chief Innovation Officer, Director
Signature
Steven D. Rubin, Attorney-in-Fact
Stock symbol
OPK
Transactions as of
May 9, 2022
Transactions value $
$0
Form type
4/A - Amendment
Date filed
6/22/2022, 04:45 PM
Date Of Original Report
May 11, 2022
Previous filing
Jun 17, 2021
Next filing
May 19, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OPK Common Stock Award +19.8M 19.8M May 9, 2022 Held by the GJN 2021 TRUST F1, F2, F3
transaction OPK Common Stock Award +19.8M 19.8M May 9, 2022 Held by the EGN 2021 TRUST F1, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
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.