Document
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): September 7, 2018
OPKO Health, Inc.
(Exact Name of Registrant as Specified in Charter)
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Delaware | | 001-33528 | | 75-2402409 |
(State or Other Jurisdiction of Incorporation) | | (Commission
File Number) | | (IRS Employer
Identification No.) |
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4400 Biscayne Blvd. Miami, Florida | | 33137 |
(Address of Principal Executive Offices) | | (Zip Code) |
Registrant’s telephone number, including area code: (305) 575-4100
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Not Applicable |
Former name or former address, if changed since last report |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o
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ITEM 7.01.
| | Regulation FD Disclosure.
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On September 7, 2018, OPKO Health, Inc. (“OPKO” or the “Company”) issued a press release regarding the lawsuit described in Item 8.01 of this Current Report on Form 8-K; a copy of such press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated in this Item 7.01 by reference. The information included in this Item 7.01 and in Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the “Securities Act”), or the Exchange Act, except as expressly set forth by specific reference in such a filing.
On September 7, 2018, the United States Securities and Exchange Commission filed a lawsuit in the United States District Court for the Southern District of New York against a number of individuals and entities, including OPKO, its CEO and Chairman, Dr. Phillip Frost, and Frost Gamma Investments Trust, an entity affiliated with Dr. Frost, alleging violations of the Securities Act, the Exchange Act and rules promulgated thereunder.
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ITEM 9.01. | | Financial Statements and Exhibits. |
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Exhibit No. | | Description |
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99.1 | | Press Release of the Company dated September 7, 2018 |
Exhibit List
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Exhibit No. | | Description |
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99.1 | | |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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| | OPKO Health, Inc. |
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| | By: | /s/ Adam Logal |
Date: September 10, 2018 | | Name: | Adam Logal |
| | Title: | Senior Vice President, Chief Financial Officer |
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