4//SEC Filing
Curfman Matthew J. 4
Accession 0001193805-20-001616
CIK 0001041024other
Filed
Dec 22, 7:00 PM ET
Accepted
Dec 23, 5:28 PM ET
Size
30.9 KB
Accession
0001193805-20-001616
Insider Transaction Report
Form 4
Richmond David S.
10% OwnerOther
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
- 3,465,803(indirect: By LLC)
Common Stock
- 64,841(indirect: By LLC)
Common Stock
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 29,787(indirect: By Spouse)
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
- 3,465,803(indirect: By LLC)
Common Stock
- 64,841(indirect: By LLC)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 3,465,803(indirect: By LLC)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 64,841(indirect: By LLC)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
- 3,465,803(indirect: By LLC)
Common Stock
- 64,841(indirect: By LLC)
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 3,465,803(indirect: By LLC)
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 64,841(indirect: By LLC)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
Curfman Matthew J.
10% OwnerOther
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 64,841(indirect: By LLC)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
- 3,465,803(indirect: By LLC)
Common Stock
RBI PI Manager, LLC
Other
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 64,841(indirect: By LLC)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
- 3,465,803(indirect: By LLC)
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 3,465,803(indirect: By LLC)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 64,841(indirect: By LLC)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
Richmond Brothers, Inc.
10% OwnerOther
Transactions
- Sale
Common Stock
2020-12-21$1.03/sh−42,450$43,724→ 1,433,309 total(indirect: By LLC)
Holdings
- 64,841(indirect: By LLC)
Common Stock
- 38,490(indirect: By LLC)
Common Stock
- 29,787(indirect: By Spouse)
Common Stock
- 7(indirect: By: Son of David S. Richmond)
Common Stock
- 52,837(indirect: By: Matthew J. Curfman)
Common Stock
- 38,300(indirect: By Spouse)
Common Stock
- 3,465,803(indirect: By LLC)
Common Stock
- 61,278(indirect: By: Richmond Brothers, Inc.)
Common Stock
- 108,628(indirect: By 401(k))
Common Stock
- 797(indirect: By: Daughter of David S. Richmond)
Common Stock
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]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.
- [F4]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.
- [F5]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.
- [F6]Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers.
- [F7]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.
- [F8]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.
- [F9]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.
Documents
Issuer
ROCKWELL MEDICAL, INC.
CIK 0001041024
Entity typeother
Related Parties
1- filerCIK 0001698617
Filing Metadata
- Form type
- 4
- Filed
- Dec 22, 7:00 PM ET
- Accepted
- Dec 23, 5:28 PM ET
- Size
- 30.9 KB