person · Reporting owner
FROST PHILLIP MD ET AL
Disclosed activity across 12 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cocrystal Pharma, Inc.COCP · Entity 7621 | Director · 10% owner | August 05, 2026 | August 06, 2026 |
| Fluent, Inc.FLNT · Entity 6736 | 10% owner | September 04, 2025 | September 12, 2025 |
| NOCOPI TECHNOLOGIES INC/MD/NNUP · Entity 7657 | 10% owner | September 11, 2026 | September 14, 2026 |
| NON INVASIVE MONITORING SYSTEMS INC /FL/NIMU · Entity 7976 | 10% owner | January 24, 2019 | January 28, 2019 |
| NextPlat CorpNXPL · Entity 7521 | 10% owner | April 11, 2023 | April 14, 2023 |
| OPKO HEALTH, INC.OPK · Entity 4891 | Director · CEO & Chairman · 10% owner | November 21, 2025 | November 21, 2025 |
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.
Cocrystal Pharma, Inc.
Report date August 05, 2026 · Filed August 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Frost Gamma Investments Trust | 1,993,551 |
Reported balance
After 2026-08-05 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-08-05 · Purchase · Acquired 10,000 · Balance 1,993,551 F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.972 to $0.9898, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence. F2: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 | 27,100 |
Reported balance
Holding disclosure · report date 2026-08-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 27,100 F3: Includes shares of common stock issuable upon vesting of restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.972 to $0.9898, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence.
F2: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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: Includes shares of common stock issuable upon vesting of restricted stock units.
Fluent, Inc.
Report date September 04, 2025 · Filed September 12, 2025 · Amendment
Jointly reported with Frost Gamma Investments Trust
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by Frost Gamma Investments Trust | 6,318,439 |
Reported balance
After 2025-09-04 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2025-09-04 · Other · Acquired 571,429 · Balance 6,318,439 F2: On September 8, 2025, the reporting person filed a Form 4 reporting ownership of 7,294,403 shares of Common Stock following the reported transaction. The reporting person's ownership of Common Stock following the transaction should have been reported as 6,318,439. F1: 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 stockholder of Frost-Nevada Corporation. The reporting persons disclaim beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that any 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 | 8,334 |
Reported balance
Holding disclosure · report date 2025-09-04 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 8,334 |
Filing footnotes · ownership attribution and instrument terms
F1: 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 stockholder of Frost-Nevada Corporation. The reporting persons disclaim beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F2: On September 8, 2025, the reporting person filed a Form 4 reporting ownership of 7,294,403 shares of Common Stock following the reported transaction. The reporting person's ownership of Common Stock following the transaction should have been reported as 6,318,439.
NOCOPI TECHNOLOGIES INC/MD/
Report date September 11, 2026 · Filed September 14, 2026
Jointly reported with Frost Gamma Investments Trust
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,511,642 |
Reported balance
After 2026-09-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-09-11 · Grant · Acquired 21,930 · Balance 1,511,642 F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer as consideration rendered pursuant advisory services provided by the Reporting Person pursuant to that certain Stock Purchase Agreement by and between the Issuer and Frost Gamma Investments Trust, dated September 11, 2023. F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer as consideration rendered pursuant advisory services provided by the Reporting Person pursuant to that certain Stock Purchase Agreement by and between the Issuer and Frost Gamma Investments Trust, dated September 11, 2023.
F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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.
NON INVASIVE MONITORING SYSTEMS INC /FL/
Report date January 24, 2019 · Filed January 28, 2019
Jointly reported with Frost Gamma Investments Trust
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectFrost Gamma Investments Trust | 54,690,325 |
Reported balance
After 2019-01-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-01-24 · Conversion · Acquired 6,335,000 · Balance 54,690,325 F1: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date. 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. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectFrost Gamma Investments Trust | 0 |
Reported balance
After 2019-01-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-01-24 · Conversion · Disposed 1,267 · Balance 0 F1: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date.
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.
NextPlat Corp
Report date April 11, 2023 · Filed April 14, 2023
Jointly reported with Frost Gamma Investments Trust
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,428,571 |
Reported balance
Holding disclosure · report date 2023-04-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,428,571 F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction pursuant to that certain Securities Purchase Agreement by and among the Issuer and Frost Gamma Investments Trust, dated April 5, 2023. F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction pursuant to that certain Securities Purchase Agreement by and among the Issuer and Frost Gamma Investments Trust, dated April 5, 2023.
F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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.
OPKO HEALTH, INC.
Report date November 21, 2025 · Filed November 21, 2025
Jointly reported with Frost Gamma Investments Trust
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 216,228,819 |
Reported balance
After 2025-11-21 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2025-11-21 · Purchase · Acquired 102,371 · Balance 216,228,819 F1: 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 | 216,232,713 |
Reported balance
After 2025-11-21 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2025-11-21 · Purchase · Acquired 3,894 · Balance 216,232,713 F1: 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 | 216,322,088 |
Reported balance
After 2025-11-21 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2025-11-21 · Purchase · Acquired 89,375 · Balance 216,322,088 F1: 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 | 216,513,578 |
Reported balance
After 2025-11-21 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2025-11-21 · Purchase · Acquired 191,490 · Balance 216,513,578 F1: 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 | 216,706,448 |
Reported balance
After 2025-11-21 transaction · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · 2025-11-21 · Purchase · Acquired 192,870 · Balance 216,706,448 F1: 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 | 30,127,177 |
Reported balance
Holding disclosure · report date 2025-11-21 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 30,127,177 F2: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 3,568,951 |
Reported balance
Holding disclosure · report date 2025-11-21 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 3,568,951 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BioCardia, Inc.
Report date January 19, 2024 · Filed January 23, 2024
Jointly reported with Frost Gamma Investments Trust
Section 16 reporting ended · disclosed 2024-01-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,896,025 |
Reported balance
After 2024-01-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-01-19 · Sale · Disposed 129,802 · Balance 1,896,025 F1: This transaction was executed in multiple trades at prices ranging from $0.38 to $0.57, inclusive. The price reported above reflects the weighted average sale price. F2: On June 6, 2019, the Issuer effected a 1-9 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F3: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $0.38 to $0.57, inclusive. The price reported above reflects the weighted average sale price.
F2: On June 6, 2019, the Issuer effected a 1-9 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
F3: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder.
Castle Brands Inc
Report date October 08, 2019 · Filed October 10, 2019
Jointly reported with Frost Gamma Investments Trust, Frost Nevada 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.
Eloxx Pharmaceuticals, Inc.
Report date December 19, 2017 · Filed December 22, 2017
Section 16 reporting ended · disclosed 2017-12-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Company Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2027-12-19 | Direct | 3,621 |
Reported balance
After 2017-12-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-12-19 · Grant · Acquired 3,621 · Balance 3,621 F1: Such options were granted to Dr. Frost under Sevion Therapeutics Inc.'s ("Sevion's") 2008 Incentive Compensation Plan for services performed during Sevion's fiscal year ended June 30, 2017 and the portion of Sevion's fiscal year ended June 30, 2018 leading up to the closing of Sevion's transaction with Eloxx Pharmaceuticals, Ltd. (the "Transaction"), which occurred on December 19, 2017. In connection with the closing of the Transaction, Sevion effected a 1-for-20 reverse stock split and changed its corporate name to "Eloxx Pharmaceuticals, Inc." Such options were granted on a post-split basis and are immediately exercisable at an exercise price of $6.00 per share, which is equal to the closing selling price of Sevion's common stock on December 19, 2017, as reflected on a post-split basis. |
Filing footnotes · ownership attribution and instrument terms
F1: Such options were granted to Dr. Frost under Sevion Therapeutics Inc.'s ("Sevion's") 2008 Incentive Compensation Plan for services performed during Sevion's fiscal year ended June 30, 2017 and the portion of Sevion's fiscal year ended June 30, 2018 leading up to the closing of Sevion's transaction with Eloxx Pharmaceuticals, Ltd. (the "Transaction"), which occurred on December 19, 2017. In connection with the closing of the Transaction, Sevion effected a 1-for-20 reverse stock split and changed its corporate name to "Eloxx Pharmaceuticals, Inc." Such options were granted on a post-split basis and are immediately exercisable at an exercise price of $6.00 per share, which is equal to the closing selling price of Sevion's common stock on December 19, 2017, as reflected on a post-split basis.
LADENBURG THALMANN FINANCIAL SERVICES INC.
Report date December 24, 2018 · Filed December 27, 2018
Jointly reported with Frost Nevada Investments Trust
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.
Red Violet, Inc.
Report date December 17, 2020 · Filed December 23, 2020
Jointly reported with Frost Gamma Investments Trust
Section 16 reporting ended · disclosed 2020-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2020-12-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-17 · Gift · Disposed 2,497,982 · Balance 0 F1: This transaction represents a gift / charitable donation effective December 17, 2020. This is not a market transaction, thus no price has been reported. No value was received for the gifted shares. F2: Prior to disposition, the shares were held by Frost Gamma Investments Trust ("Frost Gamma"). Dr. Phillip Frost is the trustee of Frost Gamma. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma. 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 | Direct | 6,666 |
Reported balance
Holding disclosure · report date 2020-12-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,666 F3: By Dr. Frost. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction represents a gift / charitable donation effective December 17, 2020. This is not a market transaction, thus no price has been reported. No value was received for the gifted shares.
F2: Prior to disposition, the shares were held by Frost Gamma Investments Trust ("Frost Gamma"). Dr. Phillip Frost is the trustee of Frost Gamma. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma. 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: By Dr. Frost.
VECTOR GROUP LTD
Report date December 04, 2019 · Filed December 06, 2019
Jointly reported with Frost Gamma Investments Trust, Frost Nevada 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 |
|---|---|---|---|---|---|---|
| September 11, 2026 Filed Sep 14, 2026 21:30 UTC | NOCOPI TECHNOLOGIES INC/MD/ NNUP · Entity 7657 | GrantCommon Stock | 21,930 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-042620 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,511,642 F1 · shares: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer as consideration rendered pursuant advisory services provided by the Reporting Person pursuant to that certain Stock Purchase Agreement by and between the Issuer and Frost Gamma Investments Trust, dated September 11, 2023. F2 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 05, 2026 Filed Aug 6, 2026 21:11 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 10,000 | $0.98 | $9,816.00 |
DisclosureSEC source: 0001493152-26-036396 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,993,551 F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.972 to $0.9898, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 03, 2026 Filed Aug 5, 2026 20:10 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 75,000 | $0.94 | $70,590.00 |
DisclosureSEC source: 0001493152-26-036169 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,983,551 F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.87 to $0.9499, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| February 24, 2026 Filed Feb 25, 2026 21:10 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 20,000 | $1.00 | $19,952.00 |
DisclosureSEC source: 0001493152-26-008039 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,908,551 F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.98 to $1.00, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| February 06, 2026 Filed Feb 9, 2026 21:10 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 50,000 | $0.95 | $47,280.00 |
DisclosureSEC source: 0001493152-26-005773 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,888,551 F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.8899 to $0.9880, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 |
| January 09, 2026 Filed Jan 13, 2026 21:10 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | GrantStock Options (Right to Buy) · Derivative | 24,615 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001493152-26-002035 · ownership.xml · derivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,615 Underlying: Common Stock · 24,615 shares Expires 2036-01-09 F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date. F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date. Read SEC document |
| December 31, 2025 Filed Jan 2, 2026 21:10 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 50,000 | $0.95 | $47,275.00 |
DisclosureSEC source: 0001493152-26-000114 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,838,551 F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9370 to $0.9519, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 |
| December 30, 2025 Filed Dec 31, 2025 21:10 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 20,000 | $0.97 | $19,310.00 |
DisclosureSEC source: 0001493152-25-029796 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,788,551 F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9635 to $0.9700, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 |
| December 26, 2025 Filed Dec 29, 2025 14:24 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 40,000 | $0.97 | $38,944.00 |
DisclosureSEC source: 0001493152-25-029257 · ownership.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,768,551 F1 · price: The price reported in Column 4 for December 24, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9641 to $0.9803, inclusive. The price reported in Column 4 for December 26, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9596 to $0.9837, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 |
| December 24, 2025 Filed Dec 29, 2025 14:24 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 25,000 | $0.97 | $24,257.50 |
DisclosureSEC source: 0001493152-25-029257 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,728,551 F1 · price: The price reported in Column 4 for December 24, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9641 to $0.9803, inclusive. The price reported in Column 4 for December 26, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9596 to $0.9837, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 26, 2025 Filed Nov 28, 2025 14:00 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 2,500 | $0.99 | $2,475.00 |
DisclosureSEC source: 0001493152-25-025314 · ownership.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,703,551 F1 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 26, 2025 Filed Nov 28, 2025 14:00 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 1,500 | $1.00 | $1,500.00 |
DisclosureSEC source: 0001493152-25-025314 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,701,051 F1 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 25, 2025 Filed Nov 26, 2025 01:17 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 20,000 | $0.94 | $18,812.00 |
DisclosureSEC source: 0001493152-25-025048 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,699,551 F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $0.937 to $0.943, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 21, 2025 Filed Nov 21, 2025 22:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 192,870 | $1.34 | $257,481.45 |
DisclosureSEC source: 0001193125-25-291590 · ownership.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,706,448 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 21, 2025 Filed Nov 21, 2025 22:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 191,490 | $1.33 | $254,681.70 |
DisclosureSEC source: 0001193125-25-291590 · ownership.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,513,578 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 21, 2025 Filed Nov 21, 2025 22:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 89,375 | $1.33 | $118,421.88 |
DisclosureSEC source: 0001193125-25-291590 · ownership.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,322,088 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 21, 2025 Filed Nov 21, 2025 22:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 3,894 | $1.32 | $5,140.08 |
DisclosureSEC source: 0001193125-25-291590 · ownership.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,232,713 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 21, 2025 Filed Nov 21, 2025 22:07 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 102,371 | $1.30 | $133,082.30 |
DisclosureSEC source: 0001193125-25-291590 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,228,819 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2025 Filed Nov 20, 2025 23:10 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 13,664 | $1.35 | $18,446.40 |
DisclosureSEC source: 0001193125-25-290115 · ownership.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,126,448 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2025 Filed Nov 20, 2025 23:10 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,757 | $1.35 | $2,363.17 |
DisclosureSEC source: 0001193125-25-290115 · ownership.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,112,784 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2025 Filed Nov 20, 2025 23:10 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 24,579 | $1.34 | $32,935.86 |
DisclosureSEC source: 0001193125-25-290115 · ownership.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,111,027 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2025 Filed Nov 20, 2025 23:10 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 161,818 | $1.34 | $216,027.03 |
DisclosureSEC source: 0001193125-25-290115 · ownership.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 216,086,448 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2025 Filed Nov 20, 2025 23:10 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 211,948 | $1.33 | $281,890.84 |
DisclosureSEC source: 0001193125-25-290115 · ownership.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,924,630 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2025 Filed Nov 20, 2025 23:10 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 47,105 | $1.33 | $62,414.13 |
DisclosureSEC source: 0001193125-25-290115 · ownership.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,712,682 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2025 Filed Nov 20, 2025 23:10 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 119,129 | $1.32 | $157,250.28 |
DisclosureSEC source: 0001193125-25-290115 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,665,577 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 155,496 | $1.32 | $205,254.72 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 9 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,546,448 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 198,904 | $1.32 | $261,558.76 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,390,952 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 66,504 | $1.31 | $87,120.24 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,192,048 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 12,993 | $1.31 | $16,955.87 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,125,544 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 30,082 | $1.30 | $39,106.60 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,112,551 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 21,236 | $1.30 | $27,500.62 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,082,469 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 300 | $1.29 | $387.00 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,061,233 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 58,160 | $1.29 | $74,735.60 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,060,933 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2025 Filed Nov 19, 2025 22:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 36,325 | $1.28 | $46,496.00 |
DisclosureSEC source: 0001193125-25-288284 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 215,002,773 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 33,572 | $1.29 | $43,307.88 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 12 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,966,448 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1 | $1.29 | $1.29 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 11 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,932,876 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 83,556 | $1.29 | $107,369.46 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 10 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,932,875 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 428 | $1.28 | $549.85 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 9 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,849,319 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 69,728 | $1.28 | $89,251.84 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,848,891 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 212,608 | $1.28 | $271,075.20 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,779,163 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,772 | $1.27 | $2,250.44 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,566,555 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 15,000 | $1.27 | $18,975.00 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,564,783 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantCommon Stock | 46,700 | $1.26 | $58,842.00 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,549,783 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 66,635 | $1.26 | $83,626.93 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,503,083 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 49,590 | $1.25 | $61,987.50 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,436,448 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2025 Filed Nov 18, 2025 22:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 410 | $1.25 | $510.45 |
DisclosureSEC source: 0001193125-25-286448 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,386,858 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 31, 2025 Filed Oct 31, 2025 21:15 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 150,000 | $1.42 | $213,435.00 |
DisclosureSEC source: 0001193125-25-260956 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 214,386,448 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.415 to $1.4299, inclusive. The reporting person undertakes to provide to OPKO Health, Inc. (the "Company"), any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. F2 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 28, 2025 Filed Oct 30, 2025 20:15 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | GrantWarrants · Derivative | 719,426 | $1.39 Strike: $1.24 | $1,000,002.14 |
DisclosureSEC source: 0001493152-25-020222 · ownership.xml · derivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 719,426 Underlying: Common Stock · 719,426 shares Expires 2028-01-28 F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance. F1 · derivative.exercise_date: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 |
| October 28, 2025 Filed Oct 30, 2025 20:15 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | GrantCommon Stock | 359,713 | $1.39 | $500,001.07 |
DisclosureSEC source: 0001493152-25-020222 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frost Gamma Investments Trust Disclosed balance after: 1,679,551 F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance. F2 · ownership.nature: These shares 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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 11, 2025 Filed Sep 15, 2025 21:00 UTC | NOCOPI TECHNOLOGIES INC/MD/ NNUP · Entity 7657 | GrantCommon Stock | 21,930 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-090057 · tm2526128-1_4seq1.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,489,712 F1 · shares: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer as consideration rendered pursuant advisory services provided by the Reporting Person pursuant to that certain Stock Purchase Agreement by and between the Issuer and Frost Gamma Investments Trust, dated September 11, 2023. F2 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust 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.