person · Reporting owner

FROST PHILLIP MD ET AL

Disclosed activity across 12 companies

Tapewire entity: 25984
SEC CIK: 0000898860

Reported 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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.

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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 04, 2025 Filed Sep 8, 2025 21:03 UTC	Fluent, Inc. FLNT · Entity 6736	Disposition to issuerPre-Funded Warrants · Derivative	571,429	$1.75 Strike: $0.00	$1,000,000.75	Disclosure SEC source: 0001104659-25-088314 · tm2525555-1_4seq1.xml · derivative · entry 3 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 0 Underlying: Common Stock · 571,429 shares Expires not disclosed F3 · derivative.exercise_date: The Pre-Funded Warrants were immediately exercisable when issued and were exercised on September 4, 2025. F2 · derivative.expiration_date: The Pre-Funded Warrants expire when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
September 04, 2025 Filed Sep 8, 2025 21:03 UTC	Fluent, Inc. FLNT · Entity 6736	OtherCommon Stock	571,429	$0.00	$285.71	Disclosure SEC source: 0001104659-25-088314 · tm2525555-1_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 · Held by Frost Gamma Investments Trust Disclosed balance after: 7,294,403 F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
September 04, 2025 Filed Sep 12, 2025 20:30 UTC Amendment	Fluent, Inc. FLNT · Entity 6736	OtherCommon Stock	571,429	$0.00	$285.71	Disclosure SEC source: 0001104659-25-089560 · tm2526015-1_4aseq1.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 · Held by Frost Gamma Investments Trust Disclosed balance after: 6,318,439 F2 · balance_after: 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 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
August 19, 2025 Filed Aug 21, 2025 21:02 UTC	Fluent, Inc. FLNT · Entity 6736	GrantWarrants · Derivative	571,429	$0.00 Strike: $2.21	$0.00	Disclosure SEC source: 0001104659-25-081461 · tm2524023-1_4seq1.xml · derivative · entry 2 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 571,429 Underlying: Common Stock · 571,429 shares Expires not disclosed F3 · derivative.exercise_date: Each Warrant will be exercisable for one share of Common Stock at any time on or after the date that is six months and one day following the date of issuance for a period of five and one-half years from the date of issuance. Notwithstanding the foregoing, the Warrants shall be exercisable at any time on or after the date that applicable stockholder approval is obtained and deemed effective and such Warrants shall be exercisable until the expiration date. F3 · derivative.expiration_date: Each Warrant will be exercisable for one share of Common Stock at any time on or after the date that is six months and one day following the date of issuance for a period of five and one-half years from the date of issuance. Notwithstanding the foregoing, the Warrants shall be exercisable at any time on or after the date that applicable stockholder approval is obtained and deemed effective and such Warrants shall be exercisable until the expiration date. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
August 19, 2025 Filed Aug 21, 2025 21:02 UTC	Fluent, Inc. FLNT · Entity 6736	GrantPre-Funded Warrants · Derivative	571,429	$1.75 Strike: $0.00	$1,000,000.75	Disclosure SEC source: 0001104659-25-081461 · tm2524023-1_4seq1.xml · derivative · 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 571,429 Underlying: Common Stock · 571,429 shares Expires not disclosed F2 · derivative.exercise_date: Each Pre-Funded Warrant is immediately exercisable for one share of the issuer's common stock, $0.0005 par value per share (the "Common Stock"), and will expire when exercised in full. F2 · derivative.expiration_date: Each Pre-Funded Warrant is immediately exercisable for one share of the issuer's common stock, $0.0005 par value per share (the "Common Stock"), and will expire when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
August 18, 2025 Filed Aug 19, 2025 20:08 UTC	OPKO HEALTH, INC. OPK · Entity 4891	GiftCommon Stock	440,000	$0.00	$0.00	Disclosure SEC source: 0000950170-25-110094 · 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: 214,236,448 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
August 08, 2025 Filed Aug 8, 2025 20:56 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	675,000	$1.32	$891,000.00	Disclosure SEC source: 0000950170-25-105971 · 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: 214,676,448 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
June 06, 2025 Filed Jun 11, 2025 01:00 UTC	NOCOPI TECHNOLOGIES INC/MD/ NNUP · Entity 7657	PurchaseCommon Stock	195,852	$1.10	$215,437.20	Disclosure SEC source: 0001104659-25-058297 · tm2517672-1_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: 1,467,782 F1 · shares: These securities were acquired by the Reporting Person from a non-affiliate shareholder of Nocopi Technologies, Inc. in a private secondary transaction exempt from the registration requirements of the Securities Act of 1933, as amended. 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
May 27, 2025 Filed May 29, 2025 21:08 UTC	OPKO HEALTH, INC. OPK · Entity 4891	GrantStock Option (Right to Buy) · Derivative	500,000	$0.00 Strike: $1.31	$0.00	Disclosure SEC source: 0000950170-25-079123 · ownership.xml · derivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2035-05-26 F1 · derivative.exercise_date: This option will vest in four equal annual installments beginning May 27, 2026. Read SEC document
May 19, 2025 Filed May 21, 2025 20:15 UTC	Fluent, Inc. FLNT · Entity 6736	Disposition to issuerPre-Funded Warrants · Derivative	909,297	$2.20 Strike: $0.00	$1,999,998.75	Disclosure SEC source: 0001104659-25-051611 · tm2515842-1_4seq1.xml · derivative · entry 6 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 0 Underlying: Common Stock · 909,297 shares Expires not disclosed F3 · derivative.exercise_date: The Pre-Funded Warrants were immediately exercisable when issued and were exercised on May 19, 2025. F2 · derivative.expiration_date: The Pre-Funded Warrants expire when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
May 19, 2025 Filed May 21, 2025 20:15 UTC	Fluent, Inc. FLNT · Entity 6736	GrantWarrants · Derivative	909,297	$0.00 Strike: $2.20	$0.00	Disclosure SEC source: 0001104659-25-051611 · tm2515842-1_4seq1.xml · derivative · entry 5 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 909,297 Underlying: Common Stock · 909,297 shares Expires not disclosed F4 · derivative.expiration_date: The Warrants will expire three years from the date of issuance. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
May 19, 2025 Filed May 21, 2025 20:15 UTC	Fluent, Inc. FLNT · Entity 6736	GrantPre-Funded Warrants · Derivative	909,297	$2.20 Strike: $0.00	$1,999,998.75	Disclosure SEC source: 0001104659-25-051611 · tm2515842-1_4seq1.xml · derivative · entry 4 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 909,297 Underlying: Common Stock · 909,297 shares Expires not disclosed F3 · derivative.exercise_date: The Pre-Funded Warrants were immediately exercisable when issued and were exercised on May 19, 2025. F2 · derivative.expiration_date: The Pre-Funded Warrants expire when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
May 19, 2025 Filed May 21, 2025 20:15 UTC	Fluent, Inc. FLNT · Entity 6736	Tax withholdingCommon Stock	212	$2.13	$451.56	Disclosure SEC source: 0001104659-25-051611 · tm2515842-1_4seq1.xml · nonDerivative · entry 2 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 5,747,010 F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
May 19, 2025 Filed May 21, 2025 20:15 UTC	Fluent, Inc. FLNT · Entity 6736	OtherCommon Stock	909,297	$0.00	$454.65	Disclosure SEC source: 0001104659-25-051611 · tm2515842-1_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 · Held by Frost Gamma Investments Trust Disclosed balance after: 5,747,222 F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
April 10, 2025 Filed Apr 10, 2025 21:07 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	125,000	$1.36	$169,712.50	Disclosure SEC source: 0000950170-25-052925 · 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: 214,001,448 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.35 to $1.36, 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
April 08, 2025 Filed Apr 8, 2025 21:34 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	125,000	$1.48	$184,650.00	Disclosure SEC source: 0000950170-25-052214 · 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: 213,876,448 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.46 to $1.495, 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
April 01, 2025 Filed Apr 1, 2025 21:21 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	100,000	$1.65	$164,850.00	Disclosure SEC source: 0000950170-25-048737 · 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: 213,751,448 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.645 to $1.65, 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
March 28, 2025 Filed Mar 28, 2025 21:22 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	150,000	$1.70	$254,385.00	Disclosure SEC source: 0000950170-25-046952 · 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: 213,651,448 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.685 to $1.70, 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
March 20, 2025 Filed Mar 21, 2025 23:33 UTC	Fluent, Inc. FLNT · Entity 6736	Exercise / conversionPre-Funded Warrants · Derivative	459,981	$2.17 Strike: $0.00	$999,998.69	Disclosure SEC source: 0001437749-25-008804 · rdgdoc.xml · derivative · entry 4 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 459,981 Underlying: Common Stock · 459,981 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The Pre-Funded Warrants were immediately exercisable when issued. The Pre-Funded Warrants were exercised on March 20, 2025. F2 · derivative.expiration_date: The Pre-Funded Warrants terminate when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 20, 2025 Filed Mar 21, 2025 23:33 UTC	Fluent, Inc. FLNT · Entity 6736	Tax withholdingCommon Stock	112	$2.04	$228.48	Disclosure SEC source: 0001437749-25-008804 · rdgdoc.xml · nonDerivative · entry 2 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 4,837,925 F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 20, 2025 Filed Mar 21, 2025 23:33 UTC	Fluent, Inc. FLNT · Entity 6736	Exercise / conversionCommon Stock	459,981	$0.00	$229.99	Disclosure SEC source: 0001437749-25-008804 · rdgdoc.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 · Held by Frost Gamma Investments Trust Disclosed balance after: 4,838,037 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 20, 2025 Filed Mar 27, 2025 16:05 UTC Amendment	Fluent, Inc. FLNT · Entity 6736	Exercise / conversionPre-Funded Warrants · Derivative	459,981	$2.17 Strike: $0.00	$999,998.69	Disclosure SEC source: 0001437749-25-009541 · rdgdoc.xml · derivative · entry 5 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 459,981 Underlying: Common Stock · 459,981 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The Pre-Funded Warrants were immediately exercisable when issued. The Pre-Funded Warrants were exercised on March 20, 2025. F2 · derivative.expiration_date: The Pre-Funded Warrants terminate when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 20, 2025 Filed Mar 27, 2025 16:05 UTC Amendment	Fluent, Inc. FLNT · Entity 6736	Tax withholdingCommon Stock	112	$2.04	$228.48	Disclosure SEC source: 0001437749-25-009541 · rdgdoc.xml · nonDerivative · entry 2 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 4,837,925 F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 20, 2025 Filed Mar 27, 2025 16:05 UTC Amendment	Fluent, Inc. FLNT · Entity 6736	Exercise / conversionCommon Stock	459,981	$0.00	$229.99	Disclosure SEC source: 0001437749-25-009541 · rdgdoc.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 · Held by Frost Gamma Investments Trust Disclosed balance after: 4,838,037 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 19, 2025 Filed Mar 21, 2025 23:33 UTC	Fluent, Inc. FLNT · Entity 6736	GrantPre-Funded Warrants · Derivative	459,981	$2.17 Strike: $0.00	$999,998.69	Disclosure SEC source: 0001437749-25-008804 · rdgdoc.xml · derivative · entry 3 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 459,981 Underlying: Common Stock · 459,981 shares Expires not disclosed F2 · derivative.expiration_date: The Pre-Funded Warrants terminate when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 19, 2025 Filed Mar 27, 2025 16:05 UTC Amendment	Fluent, Inc. FLNT · Entity 6736	GrantPre-Funded Warrants · Derivative	459,981	$2.17 Strike: $0.00	$999,998.69	Disclosure SEC source: 0001437749-25-009541 · rdgdoc.xml · derivative · entry 4 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 459,981 Underlying: Common Stock · 459,981 shares Expires not disclosed F2 · derivative.expiration_date: The Pre-Funded Warrants terminate when exercised in full. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
March 17, 2025 Filed Mar 17, 2025 21:27 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	200,000	$1.74	$347,820.00	Disclosure SEC source: 0000950170-25-040497 · 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: 213,501,448 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.73 to $1.745, 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
March 04, 2025 Filed Mar 4, 2025 23:16 UTC	OPKO HEALTH, INC. OPK · Entity 4891	Purchase3.75% Convertible Notes due 2029 · Derivative	Not disclosed	$436,500.00 Strike: $1.15	$250,000.00	Disclosure SEC source: 0000950170-25-032615 · ownership.xml · derivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 217,391 shares Expires 2029-01-15 F1 · derivative.exercise_price: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. F1 · derivative.exercise_date: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. 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
March 03, 2025 Filed Mar 4, 2025 00:26 UTC	OPKO HEALTH, INC. OPK · Entity 4891	Purchase3.75% Convertible Notes due 2029 · Derivative	Not disclosed	$1,707,125.00 Strike: $1.15	$1,000,000.00	Disclosure SEC source: 0000950170-25-031198 · ownership.xml · derivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 869,565 shares Expires 2029-01-15 F1 · derivative.exercise_date: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. 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
March 03, 2025 Filed Mar 4, 2025 00:26 UTC	OPKO HEALTH, INC. OPK · Entity 4891	Purchase3.75% Convertible Notes due 2029 · Derivative	Not disclosed	$1,703,250.00 Strike: $1.15	$1,000,000.00	Disclosure SEC source: 0000950170-25-031198 · ownership.xml · derivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 869,565 shares Expires 2029-01-15 F1 · derivative.exercise_date: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. F2 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document
February 28, 2025 Filed Mar 1, 2025 00:34 UTC	OPKO HEALTH, INC. OPK · Entity 4891	Purchase3.75% Convertible Notes due 2029 · Derivative	Not disclosed	$1,652,750.00 Strike: $1.15	$1,000,000.00	Disclosure SEC source: 0000950170-25-030278 · ownership.xml · derivative · 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: Not disclosed Underlying: Common Stock · 869,565 shares Expires 2029-01-15 F3 · derivative.exercise_date: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between the OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes will have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document
February 28, 2025 Filed Mar 1, 2025 00:34 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	67,434	$1.71	$115,312.14	Disclosure SEC source: 0000950170-25-030278 · 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: 213,301,448 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
January 28, 2025 Filed Jan 28, 2025 22:40 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	47,537	$1.47	$70,060.03	Disclosure SEC source: 0000950170-25-009978 · 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: 213,234,014 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.465 to $1.475, 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
January 17, 2025 Filed Jan 17, 2025 22:06 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	150,000	$1.47	$220,425.00	Disclosure SEC source: 0000950170-25-006790 · 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: 213,186,477 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.465 to $1.47, 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
January 15, 2025 Filed Jan 15, 2025 22:18 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	500,000	$1.48	$740,850.00	Disclosure SEC source: 0000950170-25-005908 · 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: 213,036,477 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.46 to $1.50, 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
December 13, 2024 Filed Dec 13, 2024 22:04 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	125,000	$1.60	$199,375.00	Disclosure SEC source: 0000950170-24-136264 · 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: 212,536,477 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.585 to $1.605, 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
December 11, 2024 Filed Dec 11, 2024 22:21 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	500,000	$1.56	$781,050.00	Disclosure SEC source: 0000950170-24-135471 · 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: 212,411,477 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.535 to $1.61, 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
December 09, 2024 Filed Dec 11, 2024 19:58 UTC	Fluent, Inc. FLNT · Entity 6736	OtherPre-Funded Warrant · Derivative	647,892	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001437749-24-037223 · rdgdoc.xml · derivative · entry 3 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 0 Underlying: Common Stock · 647,892 shares Expires not disclosed F2 · derivative.exercise_date: The Pre-Funded Warrants were immediately exercisable when issued. The Pre-Funded Warrants were exercised on December 9, 2024. F3 · derivative.expiration_date: The Pre-Funded Warrants will terminate when exercised in full. F2 · derivative.underlying_shares: The Pre-Funded Warrants were immediately exercisable when issued. The Pre-Funded Warrants were exercised on December 9, 2024. F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
December 09, 2024 Filed Dec 11, 2024 19:58 UTC	Fluent, Inc. FLNT · Entity 6736	OtherCommon Stock	647,892	$0.00	$323.95	Disclosure SEC source: 0001437749-24-037223 · rdgdoc.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 · Held by Frost Gamma Investments Trust Disclosed balance after: 4,378,056 F1 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
December 02, 2024 Filed Dec 4, 2024 19:43 UTC	Fluent, Inc. FLNT · Entity 6736	PurchasePre-Funded Warrant · Derivative	647,892	$2.31 Strike: $0.00	$1,499,675.61	Disclosure SEC source: 0001437749-24-036682 · rdgdoc.xml · derivative · 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 647,892 Underlying: Common Stock · 647,892 shares Expires not disclosed F1 · derivative.expiration_date: The Pre-Funded Warrants will terminate when exercised in full. F2 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
December 02, 2024 Filed Dec 6, 2024 17:10 UTC Amendment	Fluent, Inc. FLNT · Entity 6736	GrantPre-Funded Warrant · Derivative	647,892	$2.31 Strike: $0.00	$1,499,675.61	Disclosure SEC source: 0001437749-24-036842 · rdgdoc.xml · derivative · 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 · Held by Frost Gamma Investments Trust Disclosed balance after: 647,892 Underlying: Common Stock · 647,892 shares Expires not disclosed F1 · kind: On December 4, 2024, the reporting person filed a Form 4 which inadvertently reported the transaction code as "P." The transaction code should have been reported as "A" for a grant, award or other acquisition pursuant to Rule 16b-3(d). F2 · derivative.expiration_date: The Pre-Funded Warrants will terminate when exercised in full. F3 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole 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. Read SEC document
November 29, 2024 Filed Nov 29, 2024 20:20 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	199,072	$1.53	$305,376.45	Disclosure SEC source: 0000950170-24-131871 · 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: 211,911,477 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.525 to $1.54, 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
November 22, 2024 Filed Nov 22, 2024 22:17 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	100,000	$1.59	$159,000.00	Disclosure SEC source: 0000950170-24-130292 · 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: 211,712,405 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.585 to $1.59, 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
November 14, 2024 Filed Nov 14, 2024 22:51 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	100,000	$1.62	$161,980.00	Disclosure SEC source: 0000950170-24-127266 · 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: 211,612,405 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.615 to $1.6199, 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
November 08, 2024 Filed Nov 8, 2024 22:40 UTC	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	280,183	$1.50	$421,535.32	Disclosure SEC source: 0000950170-24-124261 · 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: 211,512,405 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.455 to $1.545, 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
November 08, 2024 Filed Nov 21, 2024 00:21 UTC Amendment	OPKO HEALTH, INC. OPK · Entity 4891	PurchaseCommon Stock	280,183	$1.50	$421,535.32	Disclosure SEC source: 0000950170-24-129440 · 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: 211,512,405 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.455 to $1.545, 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 09, 2024 Filed Oct 11, 2024 20:06 UTC	Cocrystal Pharma, Inc. COCP · Entity 7621	GrantCommon Stock	27,100	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-24-040901 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,100 F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan. F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan. Read SEC document
September 27, 2024 Filed Sep 27, 2024 21:22 UTC	OPKO HEALTH, INC. OPK · Entity 4891	Purchase3.75% Convertible Notes due 2029 · Derivative	Not disclosed	$2,541,737.50 Strike: $1.15	$1,845,000.00	Disclosure SEC source: 0000950170-24-110098 · ownership.xml · derivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 1,604,347 shares Expires 2029-01-15 F1 · derivative.exercise_price: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between the OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes will have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. F1 · derivative.exercise_date: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between the OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes will have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. 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
September 25, 2024 Filed Sep 26, 2024 21:33 UTC	OPKO HEALTH, INC. OPK · Entity 4891	Purchase3.75% Convertible Notes due 2029 · Derivative	Not disclosed	$1,571,050.00 Strike: $1.15	$1,155,000.00	Disclosure SEC source: 0000950170-24-109683 · ownership.xml · derivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2029-01-15 F1 · derivative.exercise_date: Prior to September 15, 2028, holders of the 3.75% Convertible Senior Notes due 2029 will have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date. 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
September 25, 2024 Filed Sep 27, 2024 21:18 UTC Amendment	OPKO HEALTH, INC. OPK · Entity 4891	Purchase3.75% Convertible Notes due 2029 · Derivative	Not disclosed	$1,571,050.00 Strike: $1.15	$1,155,000.00	Disclosure SEC source: 0000950170-24-110093 · ownership.xml · derivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 1,004,347 shares Expires 2029-01-15 F1 · derivative.exercise_price: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between the OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes will have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. F1 · derivative.exercise_date: The 3.75% Convertible Senior Notes due 2029 (the "Convertible Notes") were issued on January 9, 2024 under, and are governed by, an indenture, dated as of January 9, 2024 (the "Indenture"), by and between the OPKO Health, Inc., a Delaware corporation (the "Company") and U.S. Bank Trust Company, National Association, as trustee. Prior to September 15, 2028, holders of the Convertible Notes will have the right to convert such notes only in certain circumstances and during specified periods and thereafter, will be convertible at the option of the holder at any time prior to the close of business on the business day immediately preceding January 15, 2029, which is the maturity date, at a conversion price of $1.15, subject to adjustment as set forth in the Indenture. Interest accrues on the unpaid principal amount at a rate equal to 3.75% per annum and is payable semiannually in arrears on January 15 and July 15 of each year. 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

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