# EDGAR Filing Document

**Accession Number:** 0001380896
**File Stem:** 0001209191-23-020688
**Filing Date:** 2023-3
**Character Count:** 9612
**Document Hash:** e9736e211143ebf693e7485019b32c61
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-020688.hdr.sgml**: 20230323

**ACCESSION NUMBER**: 0001209191-23-020688

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230322

**FILED AS OF DATE**: 20230323

**DATE AS OF CHANGE**: 20230323

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** FROST PHILLIP MD ET AL
- **CENTRAL INDEX KEY:** 0000898860

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33528
- **FILM NUMBER:** 23754410

**MAIL ADDRESS:**
- **STREET 1:** 4400 BISCAYNE BLVD
- **CITY:** MIAMI
- **STATE:** FL
- **ZIP:** 33137-3227
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Frost Gamma Investments Trust
- **CENTRAL INDEX KEY:** 0001380896

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33528
- **FILM NUMBER:** 23754409

**BUSINESS ADDRESS:**
- **STREET 1:** 4400 BISCAYNE BLVD
- **CITY:** MIAMI
- **STATE:** FL
- **ZIP:** 33137
- **BUSINESS PHONE:** 305-575-6511

**MAIL ADDRESS:**
- **STREET 1:** 4400 BISCAYNE BLVD
- **CITY:** MIAMI
- **STATE:** FL
- **ZIP:** 33137

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Frost Gamma Investment Trust
- **DATE OF NAME CHANGE:** 20061113
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** OPKO HEALTH, INC.
- **CENTRAL INDEX KEY:** 0000944809
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 752402409
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 4400 BISCAYNE BLVD.
- **CITY:** MIAMI
- **STATE:** FL
- **ZIP:** 33137
- **BUSINESS PHONE:** 305-575-4181

**MAIL ADDRESS:**
- **STREET 1:** 4400 BISCAYNE BLVD.
- **CITY:** MIAMI
- **STATE:** FL
- **ZIP:** 33137

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Opko Health, Inc.
- **DATE OF NAME CHANGE:** 20070621

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** eXegenics Inc
- **DATE OF NAME CHANGE:** 20040505

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** EXEGENICS INC
- **DATE OF NAME CHANGE:** 20011114

## Ex-99

```
<PRE>
JOINT FILER INFORMATION

Name:	Frost Gamma Investments Trust

Address:
4400 Biscayne Blvd.
Miami, FL  33137

Designated Filer:	 Phillip Frost, M.D.

Issuer Name and Ticker Symbol:	OPKO Health, Inc. (OPK)

Date of Earliest Transaction:	March 22, 2023

Relationship to Issuer:	10% Owner

FROST GAMMA INVESTMENTS TRUST

	By:	/s/ Phillip Frost, M.D., as Trustee
	Phillip Frost, M.D., Trustee

</PRE>
```

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>FROST PHILLIP MD ET AL<br><sub>(Last) (First) (Middle)</sub><br>OPKO HEALTH, INC.<br>4400 BISCAYNE BLVD.<br><sub>(Street)</sub><br>MIAMI, FL 33137<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-22 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CEO & Chairman_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>OPKO HEALTH, INC. [ OPK ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Frost Gamma Investments Trust<br><sub>(Last) (First) (Middle)</sub><br>4400 BISCAYNE BLVD.<br><sub>(Street)</sub><br>MIAMI, FL 33137<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-22 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>OPKO HEALTH, INC. [ OPK ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock |  |  |  |  |  |  |  | 3068951 | D |  |
| Common Stock | 2023-03-22 |  | P |  | 700 | A | $1.31 | 199832394 | I | See Footnote<sup>(1)</sup> |
| Common Stock | 2023-03-22 |  | P |  | 57100 | A | $1.315 | 199889494 | I | See Footnote<sup>(1)</sup> |
| Common Stock | 2023-03-22 |  | P |  | 25200 | A | $1.32 | 199914694 | I | See Footnote<sup>(1)</sup> |
| Common Stock | 2023-03-22 |  | P |  | 116648 | A | $1.325 | 200031342 | I | See Footnote<sup>(1)</sup> |
| Common Stock | 2023-03-22 |  | P |  | 352 | A | $1.33 | 200031694 | I | See Footnote<sup>(1)</sup> |
| Common Stock |  |  |  |  |  |  |  | 30127177 | I | See Footnote<sup>(2)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee.  Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust.  Dr. Frost is one of two limited partners of Frost Gamma L.P.  The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation.  Dr. Frost is also the sole shareholder of Frost-Nevada Corporation.  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) These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary.  The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.  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.

**Signature:** Phillip Frost, M.D., Individually and as Trustee  
**Date:** 2023-03-23

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**