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Nasdaq · USD

OPK

OPKO HEALTH, INC.

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Tapewire entity
4891
SEC CIK
0000944809
Parsed reports
659

Last 12 months

Inside the activity.

33 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025320
Dec 202500
Jan 202600
Feb 202600
Mar 202610
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 26,407 $1.85 $48,852.95
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 9

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 19,912,459

F1 · ownership.nature: 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.

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 28,538 $1.82 $51,939.16
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 8

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 19,886,052

F1 · ownership.nature: 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.

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 10,928 $1.83 $19,998.24
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 7

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 263,079

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 19,475 $1.83 $35,619.78
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 6

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252,151

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 79,334 $1.82 $144,387.88
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 5

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,676

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 27,624 $1.81 $49,999.44
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 4

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,342

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 27,777 $1.80 $49,998.60
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 3

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,718

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 3,185 $1.79 $5,710.71
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 2

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,941

Read SEC document
May 05, 2023 Filed May 8, 2023 11:03 UTC
Nabel Gary J.Director · Chief Innovation Officer
PurchaseCommon Stock 19,285 $1.78 $34,327.30
Disclosure

SEC source: 0001209191-23-027852 · doc4.xml · nonDerivative · entry 1

Nabel Gary J. · CIK 0001867450 · Director · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,756

Read SEC document
March 22, 2023 Filed Mar 23, 2023 10:52 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 352 $1.33 $468.16
Disclosure

SEC source: 0001209191-23-020688 · doc4.xml · nonDerivative · entry 6

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 200,031,694

F1 · ownership.nature: 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.

Read SEC document
March 22, 2023 Filed Mar 23, 2023 10:52 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 116,648 $1.33 $154,558.60
Disclosure

SEC source: 0001209191-23-020688 · doc4.xml · nonDerivative · entry 5

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 200,031,342

F1 · ownership.nature: 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.

Read SEC document
March 22, 2023 Filed Mar 23, 2023 10:52 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 25,200 $1.32 $33,264.00
Disclosure

SEC source: 0001209191-23-020688 · doc4.xml · nonDerivative · entry 4

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 199,914,694

F1 · ownership.nature: 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.

Read SEC document
March 22, 2023 Filed Mar 23, 2023 10:52 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 57,100 $1.32 $75,086.50
Disclosure

SEC source: 0001209191-23-020688 · doc4.xml · nonDerivative · entry 3

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 199,889,494

F1 · ownership.nature: 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.

Read SEC document
March 22, 2023 Filed Mar 23, 2023 10:52 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 700 $1.31 $917.00
Disclosure

SEC source: 0001209191-23-020688 · doc4.xml · nonDerivative · entry 2

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 199,832,394

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 20,000 $1.29 $25,800.00
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 25

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,831,694

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 6,037 $1.28 $7,727.36
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 24

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,811,694

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 34,812 $1.27 $44,211.24
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 23

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,805,657

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 7,341 $1.27 $9,286.37
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 22

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,770,845

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 2,700 $1.26 $3,402.00
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 21

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,763,504

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 89,710 $1.26 $112,586.05
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 20

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,760,804

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 92,000 $1.25 $115,000.00
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 19

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,671,094

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 11,300 $1.25 $14,068.50
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 18

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,579,094

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 11,556 $1.24 $14,329.44
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 17

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,567,794

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 1,200 $1.24 $1,482.00
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 16

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,556,238

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 15,386 $1.23 $18,924.78
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 15

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,555,038

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 7,958 $1.23 $9,748.55
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 14

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,539,652

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 20,700 $1.16 $24,012.00
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 13

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,531,694

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 59,117 $1.16 $68,280.14
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 12

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,510,994

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 1,000 $1.15 $1,152.50
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 11

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,451,877

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 81,336 $1.15 $93,536.40
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 10

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,450,877

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 1,900 $1.15 $2,180.25
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 9

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,369,541

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 13,569 $1.15 $15,536.51
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 8

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,367,641

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 348,101 $1.14 $396,835.14
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 7

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,354,072

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 107,200 $1.14 $121,672.00
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 6

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 199,005,971

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 5,700 $1.13 $6,455.25
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 5

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,898,771

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 22,049 $1.13 $24,915.37
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 4

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,893,071

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 39,028 $1.13 $43,906.50
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 3

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,871,022

F1 · ownership.nature: 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.

Read SEC document
March 08, 2023 Filed Mar 9, 2023 11:26 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 300 $1.12 $336.00
Disclosure

SEC source: 0001209191-23-017444 · doc4.xml · nonDerivative · entry 2

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,831,994

F1 · ownership.nature: 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.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 23:07 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
Grant5% Convertible Promissory Notes due 2025 · Derivative Not disclosed $25,000,000.00 Strike: $1.66 $25,000,000.00
Disclosure

SEC source: 0001209191-23-009339 · doc4.xml · derivative · entry 2

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 25,000,000

Underlying: Common Stock · Not disclosed shares

Expires 2025-01-31

F1 · kind: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

F1 · derivative.exercise_date: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

F2 · ownership.nature: 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.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 23:07 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
Disposition to issuer5% Convertible Promissory Notes due 2023 · Derivative Not disclosed $25,000,000.00 Strike: $5.00 $25,000,000.00
Disclosure

SEC source: 0001209191-23-009339 · doc4.xml · derivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnore

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed shares

Expires 2023-02-27

F1 · kind: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

F1 · derivative.exercise_date: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

F2 · ownership.nature: 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.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 23:06 UTC
HSIAO JANE PH DDirector · Vice Chairman & CTO
Grant5% Convertible Promissory Notes due 2025 · Derivative Not disclosed $5,000,000.00 Strike: $1.66 $5,000,000.00
Disclosure

SEC source: 0001209191-23-009337 · doc4.xml · derivative · entry 2

HSIAO JANE PH D · CIK 0001188834 · Director · Vice Chairman & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2025-01-31

F1 · kind: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

F1 · derivative.exercise_date: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 23:06 UTC
HSIAO JANE PH DDirector · Vice Chairman & CTO
Disposition to issuer5% Convertible Promissory Notes due 2023 · Derivative Not disclosed $5,000,000.00 Strike: $5.00 $5,000,000.00
Disclosure

SEC source: 0001209191-23-009337 · doc4.xml · derivative · entry 1

HSIAO JANE PH D · CIK 0001188834 · Director · Vice Chairman & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2023-02-27

F1 · kind: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

F1 · derivative.exercise_date: The two reported transactions involved an amendment and restatement of an outstanding convertible promissory note (the "Original Note"), resulting in the deemed cancellation of the Original Note and the execution of an amended note (the "Amended Note"). The Original Note was entered into on February 27, 2018 and the Reporting Person had the option to convert all or any portion of the outstanding principal balance of the Original Note, plus unpaid interest, into shares of the Issuer's common stock, par value $0.01 per share, at a conversion price of $5.00 per share, at any time prior to the maturity date, which was February 27, 2023. The Amended Note extends the maturity to January 31, 2025, and resets the conversion price to the 10 day volume weighted average price immediately preceding the date of the Amended Note, plus a 25% conversion premium, or $1.66.

Read SEC document
November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 19,655 $1.51 $29,679.05
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 9

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,831,694

F1 · ownership.nature: 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.

Read SEC document
November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 6,345 $1.51 $9,549.23
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 8

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,812,039

F1 · ownership.nature: 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.

Read SEC document
November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 75,496 $1.50 $113,244.00
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 7

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,805,694

F1 · ownership.nature: 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.

Read SEC document
November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 11,551 $1.49 $17,210.99
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 6

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,730,198

F1 · ownership.nature: 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.

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November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 93,500 $1.49 $138,847.50
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 5

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,718,647

F1 · ownership.nature: 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.

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November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 1,200 $1.48 $1,779.00
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 4

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,625,147

F1 · ownership.nature: 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.

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November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 58,006 $1.48 $85,848.88
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 3

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,623,947

F1 · ownership.nature: 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.

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November 22, 2022 Filed Nov 23, 2022 12:10 UTC
FROST PHILLIP MD ET ALDirector · CEO & Chairman · 10% owner
PurchaseCommon Stock 34,247 $1.48 $50,514.33
Disclosure

SEC source: 0001209191-22-058551 · doc4.xml · nonDerivative · entry 2

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,565,941

F1 · ownership.nature: 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.