Initial Statement of Beneficial Ownership (3)
10 November 2017 - 10:23AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Opko Health, Inc.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2017
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3. Issuer Name
and
Ticker or Trading Symbol
VBI Vaccines Inc/BC [VBIV]
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(Last)
(First)
(Middle)
4400 BISCAYNE BLVD.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
MIAMI, FL 33137
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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6023014
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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In June 2012, OPKO acquired a 50% stock ownership in SciVac Ltd., a privately held Israeli corporation ("Old SciVac"). In July 2015, Old SciVac completed a reverse takeover (the "Transaction") of Levon Resources Ltd., a Canadian corporation and Levon changed its name to "SciVac Therapeutics Inc." ("SciVac"). At the time the Transaction became effective, OPKO's Old SciVac Shares were exchanged for 185,129,317 common shares of SciVac, and OPKO became the beneficial owner of approximately 24.5% of SciVac. SciVac acquired VBI Vaccines (Delaware) Inc., a Delaware corporation in May 2016, and changed its name to "VBI Vaccines Inc." Subsequently in 2016, OPKO participated in a private placement of VBI shares and also received additional shares of VBI in connection with an anti-dilution clause with respect to the merger in 2016. OPKO's percentage ownership was then approximately 15.1%. At the time of these transactions, the issuer was a foreign private issuer.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Opko Health, Inc.
4400 BISCAYNE BLVD.
MIAMI, FL 33137
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X
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Signatures
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Adam Logal, Senior Vice President, CFO
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11/9/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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