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

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Page 19 of 23 – SEC Filing

I.
NSR Trust
 
(a)
As of the close of business on March 22, 2017, the NSR Trust beneficially owned 18,500 Shares, representing Shares underlying certain call options.
Percentage: Less than 1%
 
(b)
1. Sole power to vote or direct vote: 18,500
 
2. Shared power to vote or direct vote: 0
 
3. Sole power to dispose or direct the disposition: 18,500
 
4. Shared power to dispose or direct the disposition: 0
 
(c)
The NSR Trust has not entered into any transactions in the securities of the Issuer since the filing of the Schedule 13D.
J.
ACR Trust
 
(a)
As of the close of business on March 22, 2017, the ACR Trust beneficially owned 25,000 Shares.
Percentage: Less than 1%
 
(b)
1. Sole power to vote or direct vote: 25,000
 
2. Shared power to vote or direct vote: 0
 
3. Sole power to dispose or direct the disposition: 25,000
 
4. Shared power to dispose or direct the disposition: 0
 
(c)
The ACR Trust has not entered into any transactions in the securities of the Issuer since the filing of the Schedule 13D.
K.
ADR Trust
 
(a)
As of the close of business on March 22, 2017, the ADR Trust beneficially owned 25,000 Shares.
Percentage: Less than 1%
 
(b)
1. Sole power to vote or direct vote: 25,000
 
2. Shared power to vote or direct vote: 0
 
3. Sole power to dispose or direct the disposition: 25,000
 
4. Shared power to dispose or direct the disposition: 0
 
(c)
The ADR Trust has not entered into any transactions in the securities of the Issuer since the filing of the Schedule 13D.

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