organization · Reporting owner
Frost Nevada Investments Trust
Disclosed activity across 4 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OPKO HEALTH, INC.OPK · Entity 4891 | 10% owner | July 16, 2019 | July 17, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
OPKO HEALTH, INC.
Report date July 16, 2019 · Filed July 17, 2019
Jointly reported with FROST PHILLIP MD ET AL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 30,081,016 |
Reported balance
After 2019-07-16 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2019-07-16 · Purchase · Acquired 3,839 · Balance 30,081,016 F1: 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 five 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 30,127,177 |
Reported balance
After 2019-07-16 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2019-07-16 · Purchase · Acquired 46,161 · Balance 30,127,177 F1: 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 five 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 164,234,443 |
Reported balance
Holding disclosure · report date 2019-07-16 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 164,234,443 F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 20,091,062 |
Reported balance
Holding disclosure · report date 2019-07-16 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 20,091,062 F3: These securities are owned directly by The Frost Group, LLC. Frost Gamma Investments Trust is a principal member of The Frost Group, LLC. 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. |
| Common StockSEC Table I · non-derivative | Direct | 3,068,951 |
Reported balance
Holding disclosure · report date 2019-07-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,068,951 |
Filing footnotes · ownership attribution and instrument terms
F1: 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 five 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.
F2: 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.
F3: These securities are owned directly by The Frost Group, LLC. Frost Gamma Investments Trust is a principal member of The Frost Group, LLC. 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.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Castle Brands Inc
Report date October 08, 2019 · Filed October 10, 2019
Jointly reported with FROST PHILLIP MD ET AL, Frost Gamma Investments Trust
Section 16 reporting ended · disclosed 2019-10-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by Frost Gamma Investments Trust | 0 |
Reported balance
After 2019-10-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-10-08 · Other · Disposed 43,975,719 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. F3: 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. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Frost Nevada Investments Trust | 0 |
Reported balance
After 2019-10-08 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-10-08 · Other · Disposed 9,370,790 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. F4: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. |
| Common StockSEC Table I · non-derivative | Direct | 22,500 |
Reported balance
After 2019-10-08 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-10-08 · Other · Disposed 787,276 · Balance 22,500 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-10-08 · Disposition to issuer · Disposed 22,500 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F5: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.07 · Expires 2024-03-05 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.46 · Expires 2025-03-26 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F7: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.84 · Expires 2026-03-17 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.04 · Expires 2027-02-28 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019.
F2: Represents shares tendered to the Purchaser in connection with the Tender Offer.
F3: 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.
F4: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.
F5: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld.
F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.
F7: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share.
LADENBURG THALMANN FINANCIAL SERVICES INC.
Report date December 24, 2018 · Filed December 27, 2018
Jointly reported with FROST PHILLIP MD ET AL
Section 16 reporting ended · disclosed 2018-12-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFrost Gamma Investments Trust | 816,199 |
Reported balance
After 2018-12-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-12-24 · Gift · Disposed 12,000,000 · Balance 816,199 F1: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee and Frost Gamma, L.P. is the sole and exclusive beneficiary. The Reporting Person 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. The Reporting Person is also the sole shareholder of Frost-Nevada Corporation. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-12-24 · Sale · Disposed 3,095,000 · Balance 0 F2: The shares of common stock were repurchased by the issuer in a private transaction. |
| Common StockSEC Table I · non-derivative | IndirectFrost Nevada Investments Trust | 6,208,431 |
Reported balance
After 2018-12-24 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-12-24 · Sale · Disposed 47,805,000 · Balance 6,208,431 F2: The shares of common stock were repurchased by the issuer in a private transaction. F3: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.73 · Expires 2019-08-27 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-12-24 · Other · Disposed 20,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2019-09-20 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-12-24 · Other · Disposed 1,000,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. F6: The options were granted on January 14, 2010 and vested in four equal annual installments beginning on January 14, 2011. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.11 · Expires 2020-09-24 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-12-24 · Other · Disposed 20,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.28 · Expires 2019-09-20 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-12-24 · Other · Disposed 600,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. F7: The options were granted on March 2, 2011 and vested in four equal annual installments beginning on March 2, 2012. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.79 · Expires 2021-11-10 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-12-24 · Other · Disposed 20,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.80 · Expires 2019-09-20 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-12-24 · Other · Disposed 750,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. F8: The options were granted on January 31, 2012 and vested in four equal annual installments beginning on January 31, 2013. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.32 · Expires 2022-09-28 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-12-24 · Other · Disposed 50,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.40 · Expires 2019-09-20 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-12-24 · Other · Disposed 300,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. F9: The options were granted on January 28, 2013 and vested in four equal annual installments beginning on January 28, 2014. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.46 · Expires 2023-05-09 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2018-12-24 · Other · Disposed 50,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.25 · Expires 2019-09-20 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2018-12-24 · Other · Disposed 400,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. F10: The options were granted on January 17, 2014 and vested in four equal annual installments beginning on January 17, 2015. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.01 · Expires 2024-06-25 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2018-12-24 · Other · Disposed 50,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.25 · Expires 2019-09-20 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2018-12-24 · Other · Disposed 150,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. F11: The options were granted on January 20, 2015 and vested in three equal annual installments beginning on January 20, 2016. 50,000 shares of the original option grant did not vest and were forfeited upon Dr. Frost's resignation from the board of directors. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.38 · Expires 2025-05-18 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2018-12-24 · Other · Disposed 50,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.65 · Expires 2019-09-20 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2018-12-24 · Other · Disposed 100,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. F12: The options were granted on January 14, 2016 and vested in two equal annual installments beginning on January 14, 2017. 100,000 shares of the original option grant did not vest and were forfeited upon Dr. Frost's resignation from the board of directors. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.40 · Expires 2026-05-18 | Direct | 0 |
Reported balance
After 2018-12-24 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2018-12-24 · Other · Disposed 50,000 · Balance 0 F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4. |
| 8.00% Series A Cumulative Redeemable Preferred StockSEC Table I · non-derivative | IndirectFrost Nevada Investments Trust | 910,000 |
Reported balance
Holding disclosure · report date 2018-12-24 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 910,000 F4: The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013. F3: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee and Frost Gamma, L.P. is the sole and exclusive beneficiary. The Reporting Person 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. The Reporting Person is also the sole shareholder of Frost-Nevada Corporation.
F2: The shares of common stock were repurchased by the issuer in a private transaction.
F3: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.
F4: The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013.
F5: Dr. Frost received $3 million in the aggregate from the issuer in connection with the cancellation of the 3,610,000 stock options set forth in Table II to this Form 4.
F6: The options were granted on January 14, 2010 and vested in four equal annual installments beginning on January 14, 2011.
F7: The options were granted on March 2, 2011 and vested in four equal annual installments beginning on March 2, 2012.
F8: The options were granted on January 31, 2012 and vested in four equal annual installments beginning on January 31, 2013.
F9: The options were granted on January 28, 2013 and vested in four equal annual installments beginning on January 28, 2014.
F10: The options were granted on January 17, 2014 and vested in four equal annual installments beginning on January 17, 2015.
F11: The options were granted on January 20, 2015 and vested in three equal annual installments beginning on January 20, 2016. 50,000 shares of the original option grant did not vest and were forfeited upon Dr. Frost's resignation from the board of directors.
F12: The options were granted on January 14, 2016 and vested in two equal annual installments beginning on January 14, 2017. 100,000 shares of the original option grant did not vest and were forfeited upon Dr. Frost's resignation from the board of directors.
VECTOR GROUP LTD
Report date December 04, 2019 · Filed December 06, 2019
Jointly reported with FROST PHILLIP MD ET AL, Frost Gamma Investments Trust
Section 16 reporting ended · disclosed 2019-12-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Frost Nevada Investments Trust | 0 |
Reported balance
After 2019-12-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-12-04 · Sale · Disposed 3,704,673 · Balance 0 F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019. F1: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. |
| Common StockSEC Table I · non-derivative | IndirectBy Frost Gamma Investments Trust | 14,746,422 |
Reported balance
After 2019-12-04 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-12-04 · Sale · Disposed 2,045,327 · Balance 14,746,422 F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019. F2: These 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Patricia Frost | 17,098 |
Reported balance
Holding disclosure · report date 2019-12-04 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 17,098 F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019. F3: These securities are held by Patricia Frost, Dr. Frost's spouse. Pursuant to Rule 16(a)-1(a)(4), the Reporting Person disclaims beneficial ownership of these shares. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.
F2: These 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.
F3: These securities are held by Patricia Frost, Dr. Frost's spouse. Pursuant to Rule 16(a)-1(a)(4), the Reporting Person disclaims beneficial ownership of these shares.
F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 24, 2018 Filed Dec 27, 2018 21:32 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | SaleCommon Stock | 47,805,000 | $2.50 | $119,512,500.00 |
DisclosureSEC source: 0001209191-18-064190 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Former 10% Owner Frost Nevada Investments Trust · CIK 0001464124 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Frost Nevada Investments Trust Disclosed balance after: 6,208,431 F2 · kind: The shares of common stock were repurchased by the issuer in a private transaction. F3 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 21:32 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | SaleCommon Stock | 3,095,000 | $2.50 | $7,737,500.00 |
DisclosureSEC source: 0001209191-18-064190 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Former 10% Owner Frost Nevada Investments Trust · CIK 0001464124 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: The shares of common stock were repurchased by the issuer in a private transaction. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 21:32 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GiftCommon Stock | 12,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-064190 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Former 10% Owner Frost Nevada Investments Trust · CIK 0001464124 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Frost Gamma Investments Trust Disclosed balance after: 816,199 F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee and Frost Gamma, L.P. is the sole and exclusive beneficiary. The Reporting Person 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. The Reporting Person is also the sole shareholder of Frost-Nevada Corporation. Read SEC document |
| December 04, 2018 Filed Dec 4, 2018 21:01 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 150,000 | $12.19 | $1,828,500.00 |
DisclosureSEC source: 0000899243-18-030149 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 3,528,260 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.42, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 21:01 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 250,000 | $12.42 | $3,105,000.00 |
DisclosureSEC source: 0000899243-18-030149 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 3,678,260 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.30 to $12.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 30, 2018 Filed Dec 4, 2018 21:01 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 226,250 | $12.61 | $2,853,012.50 |
DisclosureSEC source: 0000899243-18-030149 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 3,928,260 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.56 to $12.69, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 29, 2018 Filed Nov 29, 2018 21:00 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 100,000 | $12.91 | $1,291,000.00 |
DisclosureSEC source: 0000899243-18-029837 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 4,154,510 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.80 to $13.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 21:00 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 308,000 | $12.75 | $3,927,000.00 |
DisclosureSEC source: 0000899243-18-029837 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 4,254,510 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.45 to $13.05, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 21:00 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 357,000 | $13.24 | $4,726,680.00 |
DisclosureSEC source: 0000899243-18-029837 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 4,562,510 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.05 to $13.48, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 26, 2018 Filed Nov 26, 2018 21:00 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 325,000 | $13.53 | $4,397,250.00 |
DisclosureSEC source: 0000899243-18-029674 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 4,919,510 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.44 to $13.63, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 23, 2018 Filed Nov 26, 2018 21:00 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 50,000 | $13.57 | $678,500.00 |
DisclosureSEC source: 0000899243-18-029674 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 5,244,510 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.51 to $13.65, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 21:00 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 75,085 | $13.76 | $1,033,169.60 |
DisclosureSEC source: 0000899243-18-029674 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 5,294,510 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.64 to $13.83, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 21:01 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 45,609 | $14.14 | $644,911.26 |
DisclosureSEC source: 0000899243-18-029517 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 5,369,595 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.94 to $14.30, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · balance_after: All shares and price information has been adjusted to reflect the 5% stock dividend, which was paid by the Issuer on September 27, 2018. F5 · ownership.nature: 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 five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| November 16, 2018 Filed Nov 20, 2018 21:01 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 100,000 | $14.21 | $1,421,000.00 |
DisclosureSEC source: 0000899243-18-029517 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 15,992,142 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.16 to $14.36, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · balance_after: All shares and price information has been adjusted to reflect the 5% stock dividend, which was paid by the Issuer on September 27, 2018. F4 · ownership.nature: These 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 08, 2018 Filed Nov 13, 2018 12:43 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantCommon Stock | 20,057,307 | $3.49 | $70,000,001.43 |
DisclosureSEC source: 0001209191-18-058058 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 24,420,177 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 24, 2018 Filed Sep 25, 2018 12:01 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionStock Option (Right to Buy) · Derivative | 600,000 | $0.00 Strike: $1.58 | $0.00 |
DisclosureSEC source: 0001209191-18-052099 · doc4.xml · derivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2018-10-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The options were granted on October 31, 2008 and vested in four equal annual installments beginning on October 31, 2009. Read SEC document |
| September 24, 2018 Filed Sep 25, 2018 12:01 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 600,000 | $1.58 | $948,000.00 |
DisclosureSEC source: 0001209191-18-052099 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,095,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 20, 2018 Filed Sep 25, 2018 01:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 45,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052096 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,495,000 F1 · shares: Represents the forfeiture of (i) 15,000 shares of unvested restricted stock granted on May 24, 2017 and (ii) 30,000 shares of unvested restricted stock granted on May 30, 2018, in connection with Dr. Frost's retirement from the Company's board of directors. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 170 | $5.66 | $962.20 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 11 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,362,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 830 | $5.66 | $4,693.65 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 10 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,362,700 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,000 | $5.63 | $5,630.00 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 9 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,361,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,000 | $5.60 | $5,600.00 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,360,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 2,447 | $5.58 | $13,654.26 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,359,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 265 | $5.58 | $1,477.38 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,357,423 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 109 | $5.57 | $607.13 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,357,158 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,844 | $5.55 | $10,234.20 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,357,049 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,335 | $5.54 | $7,395.90 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,355,205 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 10:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,000 | $5.45 | $5,450.00 |
DisclosureSEC source: 0001209191-18-050182 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,353,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 05, 2018 Filed Sep 6, 2018 11:40 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 3,560 | $5.81 | $20,683.60 |
DisclosureSEC source: 0001209191-18-049741 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,352,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 05, 2018 Filed Sep 6, 2018 11:40 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,440 | $5.81 | $8,359.20 |
DisclosureSEC source: 0001209191-18-049741 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,349,310 F1 · ownership.nature: 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 five 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. Read SEC document |
| September 05, 2018 Filed Sep 6, 2018 11:40 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 5,000 | $5.78 | $28,900.00 |
DisclosureSEC source: 0001209191-18-049741 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,347,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 30, 2018 Filed Aug 31, 2018 10:24 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 5,000 | $5.90 | $29,475.00 |
DisclosureSEC source: 0001209191-18-049026 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,342,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 28, 2018 Filed Aug 29, 2018 10:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 3,700 | $5.80 | $21,460.00 |
DisclosureSEC source: 0001209191-18-048756 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,337,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 28, 2018 Filed Aug 29, 2018 10:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 100 | $5.80 | $579.75 |
DisclosureSEC source: 0001209191-18-048756 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,334,170 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 28, 2018 Filed Aug 29, 2018 10:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,200 | $5.80 | $6,954.00 |
DisclosureSEC source: 0001209191-18-048756 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,334,070 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 4,700 | $5.75 | $27,025.00 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 10 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,332,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 300 | $5.75 | $1,723.50 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 9 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,328,170 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,322 | $5.70 | $7,535.40 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,327,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 100 | $5.70 | $569.50 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,326,548 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 3,578 | $5.69 | $20,358.82 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,326,448 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 3,300 | $5.67 | $18,711.00 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,322,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 100 | $5.67 | $566.75 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,319,570 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,500 | $5.67 | $8,497.50 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,319,470 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 11:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 100 | $5.66 | $566.00 |
DisclosureSEC source: 0001209191-18-048441 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,317,970 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 11:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,998 | $5.60 | $11,178.81 |
DisclosureSEC source: 0001209191-18-047559 · doc4.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,317,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 11:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 555 | $5.59 | $3,102.45 |
DisclosureSEC source: 0001209191-18-047559 · doc4.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,315,872 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 11:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 100 | $5.59 | $558.75 |
DisclosureSEC source: 0001209191-18-047559 · doc4.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,315,317 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 11:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 2,347 | $5.59 | $13,108.00 |
DisclosureSEC source: 0001209191-18-047559 · doc4.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,315,217 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 11:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,000 | $5.58 | $5,580.00 |
DisclosureSEC source: 0001209191-18-047559 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,312,870 F1 · ownership.nature: 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 five 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. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 11:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 3,000 | $5.46 | $16,380.00 |
DisclosureSEC source: 0001209191-18-047559 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 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: 4,311,870 F1 · ownership.nature: 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 five 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.