3: Initial statement of beneficial ownership of securities
Published on March 17, 2014
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 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 | ||||
Series B Preferred Stock | (1) | (1) | Common Stock | 34,893,242 | $ (1) | D | |
Common Stock Warrants | 01/17/2014 | 01/17/2024 | Common Stock | 1,000,000 | $ 0.5 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Opko Health, Inc. 4400 BISCAYNE BLVD. MIAMI, FL 33137 |
X |
Signatures
Adam Logal, Vice President-Finance, Chief Accounting Officer, and Treasurer | 03/17/2014 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | Represents approximately 170,142 shares of Series B preferred stock. The Series B shares automatically convert into 205.08308640 shares of Common Stock when the issuer increases its authorized capital to enable all of the outstanding Series B holders to convert. The Series B shares were issued on January 2, 2014 and do not expire. |