13D Filing: Richmond Brothers, Inc. and Rockwell Medical Inc. (NASDAQ:RMTI)

The following constitutes Amendment No. 3 to the Schedule 13D filed by the undersigned (“Amendment No. 3”). This Amendment No. 3 amends the Schedule 13D as specifically set forth herein.

Item 2.

Identity and Background.

Item 2 is hereby amended and restated to read as follows:

(a) This statement is filed by:

(i)

Richmond Brothers, Inc., a Michigan corporation (“Richmond Brothers”), which serves as the investment advisor to certain managed accounts (the “Separately Managed Accounts”);

(ii)

RBI Private Investment I, LLC, a Delaware limited liability company (“RBI PI”);

(iii)

RBI Private Investment II, LLC, a Delaware limited liability company (“RBI PII”);

(iv)

RBI PI Manager, LLC, a Delaware limited liability company (“RBI Manager”), which serves as the manager of RBI PI and RBI PII;

(v)

Richmond Brothers 401(k) Profit Sharing Plan, an employee benefit plan organized under the laws of Michigan (the “RBI Plan”);

(vi)

David S. Richmond, who serves as Chairman of Richmond Brothers, manager of RBI Manager and a trustee of the RBI Plan;

(vii)

Matthew J. Curfman, who serves as President of Richmond Brothers and a trustee of the RBI Plan;

(viii)

Norman J. Ravich Irrevocable Trust, a Minnesota trust (the “NJR Trust”);

(ix)

Norman and Sally Ravich Family Trust, a Minnesota trust (the “NSR Trust”);

(x)

Alexander Coleman Ravich 1991 Irrevocable Trust, a Minnesota trust (the “ACR Trust”);

(xi)

Alyssa Danielle Ravich 1991 Irrevocable Trust, a Minnesota trust (the “ADR Trust” and together with the NJR Trust, NSR Trust and ACR Trust, the “Ravich Trusts”); and

(xii)

Mark H. Ravich, who serves as the trustee of each of the Ravich Trusts.

Each of the foregoing is referred to as a “Reporting Person” and collectively as the “Reporting Persons.” Each of the Reporting Persons is party to that certain Group Agreement and Joinder Agreement thereto, as further described in Item 6. Accordingly, the Reporting Persons are hereby filing a joint Schedule 13D.

13D Filing: Richmond Brothers, Inc. and Rockwell Medical Inc. (NASDAQ:RMTI)

Published on March 28, 2017 at 2:03 pm by Insider Monkey Staff in Hedge Funds

Page 14 of 23 – SEC Filing

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