organization · Reporting owner
Frost Gamma Investments Trust
Disclosed activity across 10 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cocrystal Pharma, Inc.COCP · Entity 7621 | 10% owner | April 04, 2023 | April 06, 2023 |
| 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 | 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 April 04, 2023 · Filed April 06, 2023
Jointly reported with FROST PHILLIP MD ET AL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Frost Gamma Investments Trust | 1,319,838 |
Reported balance
After 2023-04-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-04 · Purchase · Acquired 1,015,229 · Balance 1,319,838 F1: These securities were purchased in a private transaction with the Issuer. F2: The amount of securities beneficially owned has been adjusted for the one-for-12 reverse stock split effective October 11, 2022. F3: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost, MD (the "Reporting Person") is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. The Reporting Person 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities were purchased in a private transaction with the Issuer.
F2: The amount of securities beneficially owned has been adjusted for the one-for-12 reverse stock split effective October 11, 2022.
F3: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost, MD (the "Reporting Person") is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. 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 stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. The Reporting Person 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.
Fluent, Inc.
Report date September 04, 2025 · Filed September 12, 2025 · Amendment
Jointly reported with FROST PHILLIP MD ET AL
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by Frost Gamma Investments Trust | 6,318,439 |
Reported balance
After 2025-09-04 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2025-09-04 · Other · Acquired 571,429 · Balance 6,318,439 F2: On September 8, 2025, the reporting person filed a Form 4 reporting ownership of 7,294,403 shares of Common Stock following the reported transaction. The reporting person's ownership of Common Stock following the transaction should have been reported as 6,318,439. F1: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole stockholder of Frost-Nevada Corporation. The reporting persons disclaim beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 8,334 |
Reported balance
Holding disclosure · report date 2025-09-04 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 8,334 |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole stockholder of Frost-Nevada Corporation. The reporting persons disclaim beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F2: On September 8, 2025, the reporting person filed a Form 4 reporting ownership of 7,294,403 shares of Common Stock following the reported transaction. The reporting person's ownership of Common Stock following the transaction should have been reported as 6,318,439.
NOCOPI TECHNOLOGIES INC/MD/
Report date September 11, 2026 · Filed September 14, 2026
Jointly reported with FROST PHILLIP MD ET AL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,511,642 |
Reported balance
After 2026-09-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-09-11 · Grant · Acquired 21,930 · Balance 1,511,642 F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer as consideration rendered pursuant advisory services provided by the Reporting Person pursuant to that certain Stock Purchase Agreement by and between the Issuer and Frost Gamma Investments Trust, dated September 11, 2023. F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer as consideration rendered pursuant advisory services provided by the Reporting Person pursuant to that certain Stock Purchase Agreement by and between the Issuer and Frost Gamma Investments Trust, dated September 11, 2023.
F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
NON INVASIVE MONITORING SYSTEMS INC /FL/
Report date January 24, 2019 · Filed January 28, 2019
Jointly reported with FROST PHILLIP MD ET AL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectFrost Gamma Investments Trust | 54,690,325 |
Reported balance
After 2019-01-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-01-24 · Conversion · Acquired 6,335,000 · Balance 54,690,325 F1: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date. F2: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectFrost Gamma Investments Trust | 0 |
Reported balance
After 2019-01-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-01-24 · Conversion · Disposed 1,267 · Balance 0 F1: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date. F2: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date.
F2: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
NextPlat Corp
Report date April 11, 2023 · Filed April 14, 2023
Jointly reported with FROST PHILLIP MD ET AL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,428,571 |
Reported balance
Holding disclosure · report date 2023-04-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,428,571 F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction pursuant to that certain Securities Purchase Agreement by and among the Issuer and Frost Gamma Investments Trust, dated April 5, 2023. F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction pursuant to that certain Securities Purchase Agreement by and among the Issuer and Frost Gamma Investments Trust, dated April 5, 2023.
F2: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
OPKO HEALTH, INC.
Report date November 21, 2025 · Filed November 21, 2025
Jointly reported with FROST PHILLIP MD ET AL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 216,228,819 |
Reported balance
After 2025-11-21 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2025-11-21 · Purchase · Acquired 102,371 · Balance 216,228,819 F1: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 216,232,713 |
Reported balance
After 2025-11-21 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2025-11-21 · Purchase · Acquired 3,894 · Balance 216,232,713 F1: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 216,322,088 |
Reported balance
After 2025-11-21 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2025-11-21 · Purchase · Acquired 89,375 · Balance 216,322,088 F1: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 216,513,578 |
Reported balance
After 2025-11-21 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2025-11-21 · Purchase · Acquired 191,490 · Balance 216,513,578 F1: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 216,706,448 |
Reported balance
After 2025-11-21 transaction · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · 2025-11-21 · Purchase · Acquired 192,870 · Balance 216,706,448 F1: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 30,127,177 |
Reported balance
Holding disclosure · report date 2025-11-21 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 30,127,177 F2: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 3,568,951 |
Reported balance
Holding disclosure · report date 2025-11-21 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 3,568,951 |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F2: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of seven limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Past disclosures · reporting ended (4)
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 PHILLIP MD ET AL
Section 16 reporting ended · disclosed 2024-01-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,896,025 |
Reported balance
After 2024-01-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-01-19 · Sale · Disposed 129,802 · Balance 1,896,025 F1: This transaction was executed in multiple trades at prices ranging from $0.38 to $0.57, inclusive. The price reported above reflects the weighted average sale price. F2: On June 6, 2019, the Issuer effected a 1-9 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F3: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $0.38 to $0.57, inclusive. The price reported above reflects the weighted average sale price.
F2: On June 6, 2019, the Issuer effected a 1-9 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
F3: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder.
Castle Brands Inc
Report date October 08, 2019 · Filed October 10, 2019
Jointly reported with FROST PHILLIP MD ET AL, Frost Nevada Investments Trust
Section 16 reporting ended · disclosed 2019-10-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by Frost Gamma Investments Trust | 0 |
Reported balance
After 2019-10-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-10-08 · Other · Disposed 43,975,719 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. F3: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Frost Nevada Investments Trust | 0 |
Reported balance
After 2019-10-08 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-10-08 · Other · Disposed 9,370,790 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. F4: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. |
| Common StockSEC Table I · non-derivative | Direct | 22,500 |
Reported balance
After 2019-10-08 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-10-08 · Other · Disposed 787,276 · Balance 22,500 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-10-08 · Disposition to issuer · Disposed 22,500 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F5: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.07 · Expires 2024-03-05 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.46 · Expires 2025-03-26 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F7: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.84 · Expires 2026-03-17 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.04 · Expires 2027-02-28 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director or 10% owner of Issuer, effective on October 9, 2019.
F2: Represents shares tendered to the Purchaser in connection with the Tender Offer.
F3: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F4: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.
F5: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld.
F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.
F7: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share.
Red Violet, Inc.
Report date December 17, 2020 · Filed December 23, 2020
Jointly reported with FROST PHILLIP MD ET AL
Section 16 reporting ended · disclosed 2020-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2020-12-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-17 · Gift · Disposed 2,497,982 · Balance 0 F1: This transaction represents a gift / charitable donation effective December 17, 2020. This is not a market transaction, thus no price has been reported. No value was received for the gifted shares. F2: Prior to disposition, the shares were held by Frost Gamma Investments Trust ("Frost Gamma"). Dr. Phillip Frost is the trustee of Frost Gamma. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc. and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 6,666 |
Reported balance
Holding disclosure · report date 2020-12-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,666 F3: By Dr. Frost. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction represents a gift / charitable donation effective December 17, 2020. This is not a market transaction, thus no price has been reported. No value was received for the gifted shares.
F2: Prior to disposition, the shares were held by Frost Gamma Investments Trust ("Frost Gamma"). Dr. Phillip Frost is the trustee of Frost Gamma. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc. and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F3: By Dr. Frost.
VECTOR GROUP LTD
Report date December 04, 2019 · Filed December 06, 2019
Jointly reported with FROST PHILLIP MD ET AL, Frost Nevada Investments Trust
Section 16 reporting ended · disclosed 2019-12-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Frost Nevada Investments Trust | 0 |
Reported balance
After 2019-12-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-12-04 · Sale · Disposed 3,704,673 · Balance 0 F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019. F1: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. |
| Common StockSEC Table I · non-derivative | IndirectBy Frost Gamma Investments Trust | 14,746,422 |
Reported balance
After 2019-12-04 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-12-04 · Sale · Disposed 2,045,327 · Balance 14,746,422 F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019. F2: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Patricia Frost | 17,098 |
Reported balance
Holding disclosure · report date 2019-12-04 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 17,098 F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019. F3: These securities are held by Patricia Frost, Dr. Frost's spouse. Pursuant to Rule 16(a)-1(a)(4), the Reporting Person disclaims beneficial ownership of these shares. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.
F2: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F3: These securities are held by Patricia Frost, Dr. Frost's spouse. Pursuant to Rule 16(a)-1(a)(4), the Reporting Person disclaims beneficial ownership of these shares.
F4: This figure has been adjusted to reflect a 5% stock dividend received on September 27, 2019.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 06, 2019 Filed Nov 7, 2019 11:06 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 165,904 | $1.47 | $243,878.88 |
DisclosureSEC source: 0001209191-19-055600 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 167,218,243 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 06, 2019 Filed Nov 7, 2019 11:06 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 17,896 | $1.47 | $26,217.64 |
DisclosureSEC source: 0001209191-19-055600 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 167,052,339 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 31, 2019 Filed Nov 1, 2019 10:03 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 51 | $1.43 | $72.93 |
DisclosureSEC source: 0001209191-19-054677 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 167,034,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 31, 2019 Filed Nov 1, 2019 10:03 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 49,949 | $1.43 | $71,177.33 |
DisclosureSEC source: 0001209191-19-054677 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 167,034,392 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 32,515 | $1.46 | $47,471.90 |
DisclosureSEC source: 0001209191-19-054580 · doc4.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,984,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 21,485 | $1.46 | $31,260.68 |
DisclosureSEC source: 0001209191-19-054580 · doc4.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,951,928 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 4,800 | $1.45 | $6,960.00 |
DisclosureSEC source: 0001209191-19-054580 · doc4.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,930,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 19,200 | $1.45 | $27,744.00 |
DisclosureSEC source: 0001209191-19-054580 · doc4.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,925,643 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 59,203 | $1.44 | $85,252.32 |
DisclosureSEC source: 0001209191-19-054580 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,906,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 8,797 | $1.44 | $12,623.70 |
DisclosureSEC source: 0001209191-19-054580 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,847,240 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 54,000 | $1.43 | $77,220.00 |
DisclosureSEC source: 0001209191-19-054580 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,838,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 11:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 452 | $1.51 | $680.26 |
DisclosureSEC source: 0001209191-19-054434 · doc4.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,784,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 11:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 5,000 | $1.49 | $7,450.00 |
DisclosureSEC source: 0001209191-19-054434 · doc4.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,783,991 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 11:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 45,048 | $1.48 | $66,671.04 |
DisclosureSEC source: 0001209191-19-054434 · doc4.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,778,991 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 11:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 19,500 | $1.48 | $28,762.50 |
DisclosureSEC source: 0001209191-19-054434 · doc4.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,733,943 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 11:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 33,676 | $1.47 | $49,503.72 |
DisclosureSEC source: 0001209191-19-054434 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,714,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 11:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 86,324 | $1.47 | $126,464.66 |
DisclosureSEC source: 0001209191-19-054434 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,680,767 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 11:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 10,000 | $1.46 | $14,600.00 |
DisclosureSEC source: 0001209191-19-054434 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,594,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 25, 2019 18:13 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 2,000,000 | $1.50 | $3,000,000.00 |
DisclosureSEC source: 0001209191-19-054068 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,234,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 10,500 | $1.45 | $15,225.00 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 14 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,584,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 24,800 | $1.45 | $35,836.00 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 13 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,573,943 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 49,900 | $1.43 | $71,107.50 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 12 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,549,143 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 100 | $1.42 | $142.25 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 11 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,499,243 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 5,000 | $1.42 | $7,100.00 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 10 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,499,143 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 39,768 | $1.41 | $56,072.88 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 9 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,494,143 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 53,132 | $1.41 | $74,650.46 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,454,375 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,000 | $1.40 | $1,402.50 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,401,243 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 63,225 | $1.40 | $88,515.00 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,400,243 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 5,275 | $1.40 | $7,358.63 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,337,018 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 47,300 | $1.39 | $65,510.50 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,331,743 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 40,000 | $1.37 | $54,600.00 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,284,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 10:04 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 10,000 | $1.36 | $13,600.00 |
DisclosureSEC source: 0001209191-19-054201 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · CEO & Chairman · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 166,244,443 F1 · ownership.nature: The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $1.04 | Not disclosed |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · derivative · entry 8 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2027-02-28 F1 · date: 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 · price: 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $0.84 | Not disclosed |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · derivative · entry 7 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2026-03-17 F1 · date: 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 · price: 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $1.46 | Not disclosed |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · derivative · entry 6 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2025-03-26 F1 · date: 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 · price: 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $1.07 | Not disclosed |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · derivative · entry 5 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2024-03-05 F1 · date: 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 · price: 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerCommon Stock | 22,500 | $1.27 | $28,575.00 |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · nonDerivative · entry 4 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: 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 · kind: 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 787,276 | $1.27 | $999,840.52 |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · date: 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 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 9,370,790 | $1.27 | $11,900,903.30 |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Frost Nevada Investments Trust Disclosed balance after: 0 F1 · date: 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 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. F4 · ownership.nature: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:45 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 43,975,719 | $1.27 | $55,849,163.13 |
DisclosureSEC source: 0001209191-19-052889 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Frost Gamma Investments Trust Disclosed balance after: 0 F1 · date: 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 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. F3 · 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 27, 2019 Filed Mar 1, 2019 22:03 UTC | Castle Brands Inc ROX · Entity 154496 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-015083 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 809,776 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Dr. Frost is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 21:29 UTC | NON INVASIVE MONITORING SYSTEMS INC /FL/ NIMU · Entity 7976 | ConversionSeries D Convertible Preferred Stock · Derivative | 1,267 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-001029 · ownership.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: Not disclosed Ownership: Indirect · Frost Gamma Investments Trust Disclosed balance after: 0 Underlying: Common Stock · 6,335,000 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. F1 · derivative.exercise_price: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date. F1 · derivative.exercise_date: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date. F1 · derivative.expiration_date: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration 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 |
| January 24, 2019 Filed Jan 28, 2019 21:29 UTC | NON INVASIVE MONITORING SYSTEMS INC /FL/ NIMU · Entity 7976 | ConversionCommon Stock, $0.01 par value per share | 6,335,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-19-001029 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Frost Gamma Investments Trust Disclosed balance after: 54,690,325 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 · price: Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration 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 |
| December 27, 2018 Filed Dec 28, 2018 12:47 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 75,000 | $0.83 | $62,235.00 |
DisclosureSEC source: 0001209191-18-064231 · doc4.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Frost Gamma Investments Trust Disclosed balance after: 43,975,719 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8179 to $0.8400, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares 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 24, 2018 Filed Dec 27, 2018 20:13 UTC | BioCardia, Inc. BCDA · Entity 7752 | PurchaseWarrant (right to buy) · Derivative | 1,000,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001437749-18-022649 · rdgdoc.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: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2023-12-24 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby Frost Gamma Investments Trust, of which the Reporting Person is trustee, purchased 2,000,000 shares of Common Stock of the Issuer and a warrant to purchase 1,000,000 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F3 · 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. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 20:13 UTC | BioCardia, Inc. BCDA · Entity 7752 | PurchaseCommon Stock | 2,000,000 | $0.75 | $1,500,000.00 |
DisclosureSEC source: 0001437749-18-022649 · 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: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 12,875,318 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby Frost Gamma Investments Trust, of which the Reporting Person is trustee, purchased 2,000,000 shares of Common Stock of the Issuer and a warrant to purchase 1,000,000 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F2 · balance_after: On November 2, 2017, the Issuer effected a 1-12 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 · 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. Read SEC document |
| December 21, 2018 Filed Dec 28, 2018 00:22 UTC | NON INVASIVE MONITORING SYSTEMS INC /FL/ NIMU · Entity 7976 | PurchaseCommon Stock, $0.01 par value per share | 26,212,468 | $0.07 | $1,834,872.76 |
DisclosureSEC source: 0001493152-18-018019 · ownership.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: Not disclosed Ownership: Indirect · Frost Gamma Investments Trust Disclosed balance after: 48,355,325 F2 · shares: Shares acquired in exchange for indebtedness owed by Non-Invasive Monitoring Systems, Inc. to the reporting person or affiliates thereof. F2 · price: Shares acquired in exchange for indebtedness owed by Non-Invasive Monitoring Systems, Inc. to the reporting person or affiliates thereof. 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 |
| December 21, 2018 Filed Dec 28, 2018 00:22 UTC | NON INVASIVE MONITORING SYSTEMS INC /FL/ NIMU · Entity 7976 | PurchaseCommon Stock, $0.01 par value per share | 7,142,857 | $0.07 | $499,999.99 |
DisclosureSEC source: 0001493152-18-018019 · ownership.xml · nonDerivative · entry 1 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Frost Gamma Investments Trust Disclosed balance after: 22,142,857 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 |
| December 04, 2018 Filed Dec 4, 2018 21:01 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 150,000 | $12.19 | $1,828,500.00 |
DisclosureSEC source: 0000899243-18-030149 · doc4.xml · nonDerivative · entry 3 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 3,528,260 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.42, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 21:01 UTC | VECTOR GROUP LTD VGR · Entity 12970 | SaleCommon Stock | 250,000 | $12.42 | $3,105,000.00 |
DisclosureSEC source: 0000899243-18-030149 · doc4.xml · nonDerivative · entry 2 FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner Frost Gamma Investments Trust · CIK 0001380896 · 10% owner Frost Nevada Investments Trust · CIK 0001464124 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Frost Nevada Investments Trust Disclosed balance after: 3,678,260 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.30 to $12.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F4 · ownership.nature: These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.