Home/Filings/4/0000921895-19-001400

4//SEC Filing

Richmond Brothers 401(k) Profit Sharing Plan 4

Accession 0000921895-19-001400

CIK 0001041024other

View on SEC.gov Company Profile

Filed

May 12, 8:00 PM ET

Accepted

May 13, 6:23 PM ET

Size

39.1 KB

Accession

0000921895-19-001400

Insider Transaction Report

Form 4

Period: 2019-05-09

ROCKWELL MEDICAL, INC.RMTI

RBI Private Investment I, LLC

Other

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By LLC)
3,885,803
Common Stock
(indirect: By: Son of David S. Richmond)
7
Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By: Daughter of David S. Richmond)
147

Curfman Matthew J.

10% OwnerOther

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By: Daughter of David S. Richmond)
147
Common Stock
(indirect: By: Son of David S. Richmond)
7
Common Stock
(indirect: By LLC)
3,885,803

RBI OPPORTUNITIES FUND II, LLC

Other

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By: Daughter of David S. Richmond)
147
Common Stock
(indirect: By: Son of David S. Richmond)
7
Common Stock
(indirect: By LLC)
3,885,803

Richmond David S.

10% OwnerOther

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)

Holdings

Common Stock
(indirect: By LLC)
3,885,803
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By: Son of David S. Richmond)
7
Common Stock
(indirect: By: Daughter of David S. Richmond)
147

RBI Private Investment II, LLC

Other

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
3,885,803
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By: Son of David S. Richmond)
7
Common Stock
(indirect: By: Daughter of David S. Richmond)
147
Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
38,490

RBI OPPORTUNITIES FUND, LLC

Other

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
3,885,803
Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By: Daughter of David S. Richmond)
147
Common Stock
(indirect: By: Son of David S. Richmond)
7

RBI PI Manager, LLC

Other

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
3,885,803
Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By: Daughter of David S. Richmond)
147
Common Stock
(indirect: By: Son of David S. Richmond)
7
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By LLC)
1,655,759

Richmond Brothers 401(k) Profit Sharing Plan

Other

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By LLC)
3,885,803
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By: Daughter of David S. Richmond)
147
Common Stock
(indirect: By: Son of David S. Richmond)
7

Richmond Brothers, Inc.

10% OwnerOther

Transactions

Purchase
Common Stock
2019-05-09$5.65/sh+328$1,852→ 66,383 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+353$1,993→ 66,736 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+506$2,857→ 178,436 total
Purchase
Common Stock
2019-05-09$5.65/sh+71$401→ 42,835 total(indirect: By: Matthew J. Curfman)
Purchase
Common Stock
2019-05-09$5.65/sh+2,051$11,579→ 38,300 total(indirect: By Spouse)
Purchase
Common Stock
2019-05-09$5.65/sh+835$4,714→ 65,556 total(indirect: By 401(k))
Purchase
Common Stock
2019-05-09$5.65/sh+499$2,817→ 66,055 total(indirect: By 401(k))

Holdings

Common Stock
(indirect: By LLC)
3,885,803
Common Stock
(indirect: By LLC)
164,841
Common Stock
(indirect: By LLC)
38,490
Common Stock
(indirect: By LLC)
1,655,759
Common Stock
(indirect: By: Daughter of David S. Richmond)
147
Common Stock
(indirect: By Spouse)
28,096
Common Stock
(indirect: By: Son of David S. Richmond)
7

Footnotes (13)

[F1]This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
[F10]Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse.
[F11]Represents securities directly owned by Mr. Richmond's daughter. Mr. Richmond may be deemed to beneficially own the securities owned directly by his daughter.
[F12]Represents securities directly owned by Mr. Richmond's son. Mr. Richmond may be deemed to beneficially own the securities owned directly by his son.
[F13]Represents securities directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed to beneficially own the securities owned directly by his spouse.
[F2]Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
[F3]Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16.
[F4]Represents securities directly owned by RBI Opportunities. RBI Manager, as the manager of RBI Opportunities, may be deemed to beneficially own the securities owned directly by RBI Opportunities. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities.
[F5]Represents securities directly owned by RBI Opportunities II. RBI Manager, as the manager of RBI Opportunities II, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities II.
[F6]Represents securities directly owned by RBI PI. RBI Manager, as the manager of RBI PI, may be deemed to beneficially own the securities owned directly by RBI PI. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PI.
[F7]Represents securities directly owned by RBI PII. RBI Manager, as the manager of RBI PII, may be deemed to beneficially own the securities owned directly by RBI PII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PII.
[F8]Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan.
[F9]Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest.

Documents

1 file

4
form411265002_05132019.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

ROCKWELL MEDICAL, INC.

CIK 0001041024

→

Entity typeother

IncorporatedMI

Related Parties

filerCIK 0001698822

Filing Metadata

Form type: 4
Filed: May 12, 8:00 PM ET
Accepted: May 13, 6:23 PM ET
Size: 39.1 KB

View on SEC.gov