Filing Details
- Accession Number:
- 0001213900-23-074413
- Form Type:
- 13D Filing
- Publication Date:
- 2023-09-05 20:00:00
- Filed By:
- Richmond Brothers, Inc.
- Company:
- Rockwell Medical Inc. (NASDAQ:RMTI)
- Filing Date:
- 2023-09-06
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Richmond Brothers, Inc | 17,100 | 28,332 | 38,410 | 55,510 | Less than 1% | |
| RBI Private Investment I | 5,894 | 27,668 | 70,894 | 5,894 | Less than 1% | |
| RBI Private Investment II | 3,498 | 66,068 | 3,498 | Less than 1% | ||
| The RBI Opportunities Fund | 9,392 | 9,392 | 0% | |||
| The RBI Opportunities Fund II | 10,558 | 10,558 | 0% | |||
| RBI PI Manager | 13,544 | 84,438 | Less than 1% | |||
| Richmond Brothers 401(k) Profit Sharing Plan | 66,068 | Less than 1% | ||||
| David S. Richmond | Less than 1% | |||||
| Matthew J. Curfman | Less than 1% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2(a)
(Amendment No. 17)1
Rockwell Medical, Inc.
(Name of Issuer)
Common Stock, par value 0.0001 per share
(Title of Class of Securities)
774374102
(CUSIP Number)
DAVID S. RICHMONd
richmond brothers, Inc.
3568 Wildwood Avenue
Jackson, Michigan 49202
(517) 435-4040
GUY P. LANDER
CARTER LEDYARD & MILBURN LLP
28 LIBERTY STREET, NEW YORK, NY 10005
212-732-3200
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
July 11, 2023
(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 ☐.
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.
| 1 | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
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).
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
Richmond Brothers, Inc. | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
OO | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
| ☐ | |
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION
MICHIGAN |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
17,100 | ||
| 8 | SHARED VOTING POWER
- 0 - | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
17,100 | |||
| 10 | SHARED DISPOSITIVE POWER
38,410 |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
55,510 | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% | ||
| 14 | TYPE OF REPORTING PERSON
IA, CO |
2
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
RBI Private Investment I, LLC | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
WC | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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
5,894 | ||
| 8 | SHARED VOTING POWER
- 0 - | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
5,894 | |||
| 10 | SHARED DISPOSITIVE POWER
- 0 - |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,894 | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% | ||
| 14 | TYPE OF REPORTING PERSON
OO |
3
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
RBI Private Investment II, LLC | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
WC | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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
3,498 | ||
| 8 | SHARED VOTING POWER
- 0 - | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
3,498 | |||
| 10 | SHARED DISPOSITIVE POWER
- 0 - |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,498 | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% | ||
| 14 | TYPE OF REPORTING PERSON
OO |
4
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
The RBI Opportunities Fund, LLC | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
WC | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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
- 0 - | ||
| 8 | SHARED VOTING POWER
- 0 - | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
- 0 - | |||
| 10 | SHARED DISPOSITIVE POWER
- 0 - |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 - | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0% | ||
| 14 | TYPE OF REPORTING PERSON
OO |
5
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
The RBI Opportunities Fund II, LLC | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
WC | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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
- 0 - | ||
| 8 | SHARED VOTING POWER
- 0 - | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
- 0 - | |||
| 10 | SHARED DISPOSITIVE POWER
- 0 - |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 - | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0% | ||
| 14 | TYPE OF REPORTING PERSON
OO |
6
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
RBI PI Manager, LLC | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
AF | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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
9,392 | ||
| 8 | SHARED VOTING POWER
- 0 - | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
9,392 | |||
| 10 | SHARED DISPOSITIVE POWER
- 0 - |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,392 | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% | ||
| 14 | TYPE OF REPORTING PERSON
OO |
7
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
Richmond Brothers 401(k) Profit Sharing Plan | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
WC | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
| ☐ | |
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION
MICHIGAN |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
10,558 | ||
| 8 | SHARED VOTING POWER
- 0 - | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
10,558 | |||
| 10 | SHARED DISPOSITIVE POWER
- 0 - |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,558 | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% | ||
| 14 | TYPE OF REPORTING PERSON
EP |
8
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
David S. Richmond | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
OO, PF | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
| ☐ | |
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
13,544 | ||
| 8 | SHARED VOTING POWER
28,332 | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
13,544 | |||
| 10 | SHARED DISPOSITIVE POWER
70,894 |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
84,438 | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% | ||
| 14 | TYPE OF REPORTING PERSON
IN |
9
CUSIP No. 774374102
| 1 | NAME OF REPORTING PERSON
Matthew J. Curfman | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
| (a) ☒ (b) ☐ | |
| 3 | SEC USE ONLY
| ||
| 4 | SOURCE OF FUNDS
OO, PF | ||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
| ☐ | |
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
- 0 - | ||
| 8 | SHARED VOTING POWER
27,668 | |||
| 9 | SOLE DISPOSITIVE VOTING POWER
- 0 - | |||
| 10 | SHARED DISPOSITIVE POWER
66,068 |
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
66,068 | ||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
| ☐ | |
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% | ||
| 14 | TYPE OF REPORTING PERSON
IN |
10
CUSIP No. 774374102
The following constitutes Amendment No. 17 to the Schedule 13D filed by the undersigned (“Amendment No. 17”). This Amendment No. 17 amends the Schedule 13D Item 5. As set forth below, as a result of the Issuer issuing approximately 14,000,000 Shares, each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the Shares on July 11, 2023. The filing of this Amendment No. 17 represents the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Persons.
| Item 1. | Security and Issuer. |
No material change.
| Item 2. | Identity and Background. |
No material change.
| Item 3. | Source and Amount of Funds or Other Consideration. |
Not applicable.
| Item 4. | Purpose of Transaction. |
No material change.
| Item 5. | Interest in Securities of the Issuer. |
Item 5 to Schedule 13D is hereby amended and restated, in pertinent part, as follows:
The aggregate percentage of Shares reported owned by each person named herein is based upon 28,489,663 Shares outstanding as of July 11, 2023, which is the total number of Shares outstanding based on information contained in the Issuer’s Form 8-K as filed with the Securities and Exchange Commission on July 11, 2023. The Reporting Persons beneficially own those Shares as follows
| A. | Richmond Brothers |
| (a) | As of the date hereof, Richmond Brothers directly beneficially owned 17,100 Shares, and an additional 38,410 Shares were held in the Separately Managed Accounts. As the investment advisor to the Separately Managed Accounts, Richmond Brothers may also be deemed the beneficial owner of the 55,510 Shares held in the Separately Managed Accounts. |
Percentage: Less than 1%
| (b) | 1. Sole power to vote or direct vote: 17,100 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 17,100 4. Shared power to dispose or direct the disposition: 38,410 |
| B. | RBI PI |
| (a) | As of the date hereof, RBI PI beneficially owned 5,894 Shares. |
Percentage: Less than 1%
| (b) | 1. Sole power to vote or direct vote: 5,894 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 5,894 4. Shared power to dispose or direct the disposition: 0 |
11
CUSIP No. 774374102
| C. | RBI PII |
| (a) | As of the date hereof, RBI PII beneficially owned 3,498 Shares. |
Percentage: Less than 1%
| (b) | 1.
Sole power to vote or direct vote: 3,498 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 3,498 4. Shared power to dispose or direct the disposition: 0 |
| D. | RBI Opportunities |
| (a) | As of the date hereof, RBI Opportunities beneficially owned 0 Shares. |
Percentage: 0%
| (b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 0 |
| E. | RBI Opportunities II |
| (a) | As of the date hereof, RBI Opportunities II beneficially owned 0 Shares. |
Percentage: 0%
| (b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 0 |
12
CUSIP No. 774374102
| F. | RBI Manager |
| (a) | As the manager of RBI PI, RBI PII, RBI Opportunities and RBI Opportunities II, RBI Manager may be deemed the beneficial owner of the (i) 5,894 Shares owned by RBI PI, (ii) 3,498 Shares owned by RBI PII, (iii) 0 Shares beneficially owned by RBI Opportunities and (iv) 0 Shares beneficially owned by RBI Opportunities II. |
Percentage: Less than 1%
| (b) | 1. Sole power to vote or direct vote: 9,392 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 9,392 4. Shared power to dispose or direct the disposition: 0 |
| G. | RBI Plan |
| (a) | As of the date hereof, the RBI Plan beneficially owned 10,558 Shares. |
Percentage: Less than 1%
| (b) | 1. Sole power to vote or direct vote: 10,558 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 10,558 4. Shared power to dispose or direct the disposition: 0 |
| H. | Mr. Richmond |
| (a) | As of the date hereof, Mr. Richmond beneficially owned 84,438 Shares, including 674 Shares directly owned by his spouse. As the Chairman of Richmond Brothers, manager of RBI Manager and a trustee of the RBI Plan, Mr. Richmond may also be deemed the beneficial owner of the (i) 17,100 Shares owned directly by Richmond Brothers, (ii) 38,410 Shares held in the Separately Managed Accounts, (iii) 5,894 Shares owned by RBI PI, (iv) 3,498 Shares owned by RBI PII, (v) 0 Shares beneficially owned by RBI Opportunities, (vi) 0 Shares beneficially owned by RBI Opportunities II and (vii) 10,558 Shares owned by the RBI Plan. |
Percentage: Less than 1%
| (b) | 1. Sole power to vote or direct vote: 13,544 2. Shared power to vote or direct vote: 28,332 3. Sole power to dispose or direct the disposition: 13,544 4. Shared power to dispose or direct the disposition: 70,894 |
13
CUSIP No. 774374102
| I. | Mr. Curfman |
| (a) | As of the date hereof, Mr. Curfman beneficially owned 66,068 Shares. As the President of Richmond Brothers and a trustee of the RBI Plan, Mr. Curfman may also be deemed the beneficial owner of the (i) 17,100 Shares owned directly by Richmond Brothers, (ii) 38,410 Shares held in the Separately Managed Accounts and (iii) 10,558 Shares owned by the RBI Plan. |
Percentage: Less than 1%
| (b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 27,668 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 66,068 |
The filing of this Schedule 13D shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any Shares he or it does not directly own. Each of the Reporting Persons specifically disclaims beneficial ownership of the Shares reported herein that he or it does not directly own.
| (c) | The transactions in the securities of the Issuer by the Reporting Persons during the past sixty days are set forth in Schedule A and are incorporated herein by reference. Such transactions were effected in the open market. |
| (e) | Each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the Shares on July 11, 2023. |
| Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
Not applicable.
| Item 7. | Material to be Filed as Exhibits. |
No material change.
14
CUSIP No. 774374102
SIGNATURES
After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated: September 6, 2023
| Richmond Brothers, Inc. | |||
| By: | /s/ David S. Richmond | ||
| Name: | David S. Richmond | ||
| Title: | Chairman | ||
| RBI Private Investment I, LLC | |||
| By: | RBI PI Manager, LLC | ||
| Manager | |||
| By: | /s/ David S. Richmond | ||
| Name: | David S. Richmond | ||
| Title: | Manager | ||
| RBI Private Investment II, LLC | |||
| By: | RBI PI Manager, LLC | ||
| Manager | |||
| By: | /s/ David S. Richmond | ||
| Name: | David S. Richmond | ||
| Title: | Manager | ||
| The RBI Opportunities Fund, LLC | |||
| By: | RBI PI Manager, LLC | ||
| Manager | |||
| By: | /s/ David S. Richmond | ||
| Name: | David S. Richmond | ||
| Title: | Manager | ||
15
CUSIP No. 774374102
| The RBI Opportunities Fund II, LLC | |||
| By: | RBI PI Manager, LLC | ||
| Manager | |||
| By: | /s/ David S. Richmond | ||
| Name: | David S. Richmond | ||
| Title: | Manager | ||
| By: | RBI PI Manager, LLC | ||
| By: | /s/ David S. Richmond | ||
| Name: | David S. Richmond | ||
| Title: | Manager | ||
| By: | Richmond Brothers 401(k) Profit Sharing Plan | ||
| By: | /s/ David S. Richmond | ||
| Name: | David S. Richmond | ||
| Title: | Trustee | ||
| /s/ David S. Richmond | |
| David S. Richmond | |
| /s/ Matthew J. Curfman | |
| Matthew J. Curfman |
16
CUSIP No. 774374102
SCHEDULE A
Transactions in the Securities of the Issuer During the past sixty days
Richmond Brothers, Inc.
(Through the Separately Managed Accounts)
| Action | Price ($) | Quantity | Net Amnt | Trade Date | ||||||||||
| Sell | 2.39000 | -84.00000 | 200.76 | 08/29/2023 | ||||||||||
| Sell | 2.36230 | -271.50000 | 636.40 | 08/28/2023 | ||||||||||
| Sell | 2.41130 | -275.00000 | 663.10 | 08/23/2023 | ||||||||||
| Sell | 2.26970 | -143.00000 | 319.62 | 08/22/2023 | ||||||||||
| Sell | 2.26040 | -271.50000 | 608.74 | 08/21/2023 | ||||||||||
| Sell | 2.25000 | -302.00000 | 679.49 | 08/18/2023 | ||||||||||
| Sell | 2.21000 | -242.00000 | 534.81 | 08/17/2023 | ||||||||||
| Sell | 2.20810 | -104.00000 | 229.64 | 08/17/2023 | ||||||||||
| Sell | 2.20370 | -146.00000 | 321.74 | 08/17/2023 | ||||||||||
| Sell | 2.81010 | -155.00000 | 430.62 | 08/09/2023 | ||||||||||
| Sell | 3.11430 | -59.00000 | 183.74 | 08/08/2023 | ||||||||||
| Sell | 3.11500 | -23.00000 | 71.65 | 08/08/2023 | ||||||||||
| Sell | 3.11140 | -14.00000 | 43.56 | 08/08/2023 | ||||||||||
| Sell | 3.01840 | -79.00000 | 238.45 | 08/07/2023 | ||||||||||
| Sell | 3.01500 | -198.00000 | 596.97 | 08/07/2023 | ||||||||||
| Sell | 3.05690 | -151.00000 | 461.59 | 08/07/2023 | ||||||||||
| Sell | 3.32000 | -108.00000 | 353.61 | 08/03/2023 | ||||||||||
| Sell | 3.40000 | -453.00000 | 1,540.18 | 08/03/2023 | ||||||||||
| Sell | 3.32170 | -116.00000 | 380.37 | 08/03/2023 | ||||||||||
| Sell | 3.62230 | -27.00000 | 97.80 | 07/26/2023 | ||||||||||
| Sell | 3.49050 | -467.00000 | 1,630.04 | 07/25/2023 | ||||||||||
| Sell | 3.63170 | -2.00000 | 7.26 | 07/24/2023 | ||||||||||
| Sell | 4.03610 | -433.00000 | 1,747.61 | 07/17/2023 | ||||||||||
| Sell | 5.85500 | -404.00000 | 2,365.40 | 07/10/2023 | ||||||||||
| Sell | 5.87030 | -239.00000 | 1,402.98 | 07/10/2023 | ||||||||||
| Sell | 5.88010 | -338.00000 | 1,987.45 | 07/10/2023 | ||||||||||
| Sell | 5.81000 | -82.00000 | 476.42 | 07/10/2023 | ||||||||||
| Sell | 5.73000 | -6.00000 | 34.38 | 07/10/2023 | ||||||||||
| Sell | 5.77800 | -380.00000 | 2,195.62 | 07/10/2023 | ||||||||||
| Sell | 5.87000 | -272.00000 | 1,596.62 | 07/10/2023 | ||||||||||
| Sell | 5.68000 | -310.00000 | 1,755.83 | 07/07/2023 | ||||||||||
| Sell | 5.29270 | -201.00000 | 1,063.82 | 07/06/2023 | ||||||||||
| Sell | 5.32230 | -27.00000 | 143.70 | 07/06/2023 | ||||||||||
Richmond Brothers 401(K) profit sharing plaN
| Action | Price ($) | Quantity | Net Amnt | Trade Date | ||||||||||
| Buy | 2.46000 | 73.00000 | -179.58 | 08/23/2023 | ||||||||||
17