UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
0% Series C Convertible Perferred (1) | Â (2) | Â (2) | Common Stock | 1,250,007 | $ 0.4 | D | Â |
Warrant (Right to Buy) (3) | 05/16/2014 | 05/16/2019 | Common Stock | 6,741 | $ 2 | D | Â |
Warrant (Right to Buy) (1) | 07/27/2015 | 01/27/2018 | Common Stock | 333,333 | $ 1.5 | D | Â |
Convertible Promissory Note (1) | 02/24/2017 | 08/24/2017 | Common Stock | 2,500,000 | $ 0.1 | D | Â |
Convertible Promissory Note (1) | 11/10/2016 | 11/10/2017 | Common Stock | 1,500,000 | $ 0.1 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Opko Health, Inc. 4400 BISCAYNE BLVD. MIAMI, FL 33137 |
 |  X |  |  |
Adam Logal, Chief Financial Officer | 08/04/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The derivative security was previously subject to a "blocker" pursuant to which the reporting person was unable to convert the derivative security to the extent such conversion would result in the reporting person owning more than 4.99%. |
(2) | The convertible preferred stock is convertible at any time at the holder's option and has no expiration date. |
(3) | The derivative security was previously subject to a "blocker" pursuant to which the reporting person was unable to convert the derivative security to the extent such conversion would result in the reporting person owning more than 9.99%. |