Cocrystal Pharma: OPKO reports 29.6% ownership

Frost's reported amount includes shares held by Frost Gamma Investments Trust, so the listed ownership figures are not additive.

Available on EDGAR 11/06/2026 - 04:44 PM EST Accepted by SEC EDGAR 11/06/2026 - 04:44 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Cocrystal Pharma, Inc. (COCP) is the subject of a Schedule 13D amendment correcting ownership information reported by OPKO Health, Inc., Phillip Frost, Frost Gamma Investments Trust and Steven D. Rubin. OPKO reports beneficial ownership of 5,692,916 shares, or 29.6%; Phillip Frost reports 2,788,106 shares, or 13.9%; Frost Gamma Investments Trust reports 2,712,977 shares, or 13.6%; and Steven D. Rubin reports 75,872 shares, or 0.4%. These figures are not additive: Frost’s reported amount includes shares held by the trust. OPKO excludes and disclaims ownership of securities reported by Frost, the trust and Rubin; Frost and the trust also disclaim ownership of OPKO’s securities.

The ownership calculations cite 19,263,200 COCP shares outstanding as of August 13, 2026. The calculations for Frost, the trust and Rubin also include specified shares issuable under warrants, options or restricted stock units exercisable or vesting within 60 days. Richard C. Pfenniger, a member of the boards of COCP and OPKO, is reported as beneficially owning 88,559 shares, approximately 0.46%.

Key Figures

OPKO reported beneficial ownership: 5,692,916 shares Phillip Frost reported beneficial ownership: 2,788,106 shares Frost Gamma Investments Trust reported beneficial ownership: 2,712,977 shares +3 more

6 metrics

OPKO reported beneficial ownership 5,692,916 shares 29.6% of the class

Phillip Frost reported beneficial ownership 2,788,106 shares 13.9% of the class

Frost Gamma Investments Trust reported beneficial ownership 2,712,977 shares 13.6% of the class

Steven D. Rubin reported beneficial ownership 75,872 shares 0.4% of the class

COCP shares outstanding 19,263,200 shares As of August 13, 2026

Richard C. Pfenniger reported beneficial ownership 88,559 shares Approximately 0.46% of COCP shares

Key Terms

beneficially owned, Sole Voting Power, Sole Dispositive Power, restricted stock units

4 terms

beneficially owned regulatory

"Aggregate amount beneficially owned by each reporting person"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

Sole Voting Power regulatory

"Sole Voting Power"

Sole voting power is the exclusive right to cast votes attached to a shareholder’s stock without needing approval from anyone else. Like holding the only remote control for a TV, it lets that holder decide corporate matters such as board members, mergers, and policy changes, making it important to investors because it concentrates control and can strongly influence a company’s strategy and the value of its shares.

Sole Dispositive Power regulatory

"Sole Dispositive Power"

Sole dispositive power is the exclusive legal authority to decide what happens to a security — for example, whether to sell, transfer, or retain shares — without needing anyone else’s permission. Investors care because it signals who truly controls the economic outcome of an investment: like holding the only key to a safe, the holder can realize gains or losses and may trigger regulatory reporting, insider rules, or influence over corporate ownership.

restricted stock units financial

"shares issuable upon the vesting of restricted stock units within 60 days"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many COCP shares does OPKO report beneficially owning?

OPKO Health, Inc. reports beneficial ownership of 5,692,916 COCP shares, or 29.6%. Its reported amount excludes securities reported by Phillip Frost, Frost Gamma Investments Trust and Steven D. Rubin.

What securities are included in the COCP ownership calculations?

The calculations cite 19,263,200 COCP shares outstanding as of August 13, 2026. Phillip Frost’s calculation also includes 719,426 warrant shares, options for 51,418 shares and 1,693 restricted stock units; the trust’s includes 719,426 warrant shares; Rubin’s includes options for 50,401 shares and 16,587 restricted stock units.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)

Cocrystal Pharma, Inc.

(Name of Issuer)

Common Stock, par value $0.001 per share

(Title of Class of Securities)

19188J409

(CUSIP Number)

Camielle Green
OPKO Health, Inc., 4400 Biscayne Blvd.
Miami, FL, 33137
3055754100

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

11/04/2026

(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

schemaVersion:

SCHEDULE 13D

CUSIP Number(s): 19188J409

1

Name of reporting person

OPKO HEALTH, INC.

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

WC

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 5,692,916.00
8	Shared Voting Power 0.00
9	Sole Dispositive Power 5,692,916.00
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

5,692,916.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

29.6 %

14

Type of Reporting Person (See Instructions)

CO

Comment for Type of Reporting Person:

(1) The percentage provided in Item 13 is calculated based on 19,263,200 shares outstanding as of August 13, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on August 13, 2026.

SCHEDULE 13D

CUSIP Number(s): 19188J409

1

Name of reporting person

FROST PHILLIP MD ET AL

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

OO

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 2,788,106.00
8	Shared Voting Power 0.00
9	Sole Dispositive Power 2,788,106.00
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

2,788,106.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

13.9 %

14

Type of Reporting Person (See Instructions)

IN

Comment for Type of Reporting Person:

(1) The amounts provided in Items 7, 9, and 11 include (i) 1,993,551 shares of Common Stock held by Frost Gamma Investments Trust ("FGIT"), which is controlled by Dr. Frost as sole trustee; (ii) 719,426 shares of Common Stock issuable upon exercise of warrants held by FGIT, which are exercisable within 60 days; (iii) 22,018 shares of Common Stock held by Dr. Frost, (iv) options to acquire 51,418 shares of Common Stock, which are exercisable within 60 days; and (v) 1,693 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days. (2) The percentage provided in Item 13 is calculated based on (i) 19,263,200 shares outstanding as of August 13, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on August 13, 2026; (ii) 719,426 shares of Common Stock issuable upon exercise of warrants, which are exercisable within 60 days; (iii) options to acquire 51,418 shares of Common Stock, which are exercisable within 60 days; and (iv) 1,693 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days.

SCHEDULE 13D

CUSIP Number(s): 19188J409

1

Name of reporting person

Frost Gamma Investments Trust

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

OO

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

FLORIDA

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 2,712,977.00
8	Shared Voting Power 0.00
9	Sole Dispositive Power 2,712,977.00
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

2,712,977.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

13.6 %

14

Type of Reporting Person (See Instructions)

OO

Comment for Type of Reporting Person:

(1) The amounts provided in Items 7, 9, and 11 include (i) 1,993,551 shares of Common Stock; and (ii) 719,426 shares of Common Stock issuable upon exercise of warrants, which are exercisable within 60 days. (2) The percentage provided in Item 13 is calculated based on (i) 19,263,200 shares outstanding as of August 13, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on August 13, 2026; and (ii) 719,426 shares of Common Stock issuable upon exercise of warrants, which are exercisable within 60 days.

SCHEDULE 13D

CUSIP Number(s): 19188J409

1

Name of reporting person

Rubin Steven D

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

OO

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 75,872.00
8	Shared Voting Power 0.00
9	Sole Dispositive Power 75,872.00
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

75,872.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

0.4 %

14

Type of Reporting Person (See Instructions)

IN

Comment for Type of Reporting Person:

(1) The amounts provided in Items 7, 9, and 11 include (i) 8,884 shares of Common Stock; (ii) options to acquire 50,401 shares of Common Stock, which are exercisable within 60 days; and (iii) 16,587 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days. (2) The percentage provided in Item 13 is calculated based on (i) 19,263,200 shares outstanding as of August 13, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on August 13, 2026; (ii) options to acquire 50,401 shares of Common Stock, which are exercisable within 60 days; and (iii) 16,587 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days.

SCHEDULE 13D

Item 1.	Security and Issuer
(a)	Title of Class of Securities: Common Stock, par value $0.001 per share
(b)	Name of Issuer: Cocrystal Pharma, Inc.
(c)	Address of Issuer's Principal Executive Offices: 19805 N. CREEK PARKWAY, 19805 N. CREEK PARKWAY, BOTHELL, WASHINGTON , 98011.
Item 1 Comment: This Amendment No. 1 (the "Amendment") amends and supplements the statement on Schedule 13D filed on August 7, 2026 (collectively, the "Original Schedule 13D") by OPKO Health, Inc. ("OPKO"), Frost Gamma Investments Trust ("FGIT"), Phillip Frost, M.D. ("Dr. Frost"), and Steven D. Rubin ("Mr. Rubin") and is filed with respect to the common stock, par value $0.001 per share (the "Common Stock"), of Cocrystal Pharma, Inc., a Delaware corporation (the "Issuer"). This Amendment is filed pursuant to the Joint Filing Agreement as executed by the reporting persons listed on the cover pages to this Amendment. The Joint Filing Agreement, filed as Exhibit 3 to the Schedule 13D filed on August 7, 2026, is hereby incorporated by this reference. This Amendment is being filed to correct the reported ownership information for certain Reporting Persons.
Item 5.	Interest in Securities of the Issuer
(a)	Items 5(a) is hereby amended and restated as follows: The information contained in rows 7, 8, 9, 10, 11 and 13 on each of the cover pages of this Schedule 13D and the information set forth or incorporated in Items 2, 3, 4 and 6 is incorporated by reference in its entirety into this Item 5. OPKO's reported ownership does not include securities beneficially owned by FGIT, Dr. Frost or Mr. Rubin. OPKO disclaims beneficial ownership of the securities of the Issuer owned by FGIT, Dr. Frost, and Mr. Rubin. Dr. Frost and FGIT's reported ownership does not include securities owned by OPKO. In addition to serving as Chairman and Chief Executive Officer of OPKO, Dr. Frost and entities controlled by Dr. Frost (including FGIT), beneficially own approximately 34% of the outstanding common stock of OPKO. Dr. Frost and FGIT each disclaim beneficial ownership of the securities of the Issuer owned by OPKO. Richard C. Pfenniger, Jr., a member of the board of directors of the Issuer and OPKO, beneficially owns 88,559, or approximately 0.46% of the outstanding shares of Common Stock, which include shares of Common Stock issuable upon the exercise of stock options, warrants, and restricted stock units, exercisable within 60 days. Mr. Pfenniger has no voting or other rights and no beneficial interest in the shares of Common Stock owned by each of OPKO, Dr. Frost and FGIT. This report shall not be deemed an admission that Mr. Pfenniger is the beneficial owner of the securities for any purpose.
(b)	Items 5(b) is hereby amended and restated as follows: The information contained in rows 7, 8, 9, 10, 11 and 13 on each of the cover pages of this Schedule 13D and the information set forth or incorporated in Items 2, 3, 4 and 6 is incorporated by reference in its entirety into this Item 5. OPKO's reported ownership does not include securities beneficially owned by FGIT, Dr. Frost or Mr. Rubin. OPKO disclaims beneficial ownership of the securities of the Issuer owned by FGIT, Dr. Frost, and Mr. Rubin. Dr. Frost and FGIT's reported ownership does not include securities owned by OPKO. In addition to serving as Chairman and Chief Executive Officer of OPKO, Dr. Frost and entities controlled by Dr. Frost (including FGIT), beneficially own approximately 34% of the outstanding common stock of OPKO. Dr. Frost and FGIT each disclaim beneficial ownership of the securities of the Issuer owned by OPKO. Richard C. Pfenniger, Jr., a member of the board of directors of the Issuer and OPKO, beneficially owns 88,559, or approximately 0.46% of the outstanding shares of Common Stock, which include shares of Common Stock issuable upon the exercise of stock options, warrants, and restricted stock units, exercisable within 60 days. Mr. Pfenniger has no voting or other rights and no beneficial interest in the shares of Common Stock owned by each of OPKO, Dr. Frost and FGIT. This report shall not be deemed an admission that Mr. Pfenniger is the beneficial owner of the securities for any purpose.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

OPKO HEALTH, INC.

Signature:	/s/ Camielle Green
Name/Title:	Camielle Green, Associate General Counsel
Date:	11/06/2026

FROST PHILLIP MD ET AL

Signature:	/s/ Phillip Frost, M.D.
Name/Title:	Phillip Frost, M.D.
Date:	11/06/2026

Frost Gamma Investments Trust

Signature:	/s/ Phillip Frost, M.D.
Name/Title:	Phillip Frost, M.D., Trustee
Date:	11/06/2026

Rubin Steven D

Signature:	/s/ Steven D. Rubin
Name/Title:	Steven D. Rubin
Date:	11/06/2026