Filing Details
- Accession Number:
- 0000921895-20-001906
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-02 15:37:04
- Reporting Period:
- 2020-06-30
- Accepted Time:
- 2020-07-02 15:37:04
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1041024 | Rockwell Medical Inc. | RMTI | Pharmaceutical Preparations (2834) | 383317208 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1540462 | Richmond Brothers, Inc. | 3568 Wildwood Avenue Jackson MI 49202 | No | No | No | Yes | |
1697890 | Rbi Private Investment Ii, Llc | 3568 Wildwood Avenue Jackson MI 49202 | No | No | No | Yes | |
1698614 | S. David Richmond | 3568 Wildwood Avenue Jackson MI 49202 | No | No | Yes | Yes | |
1698617 | J. Matthew Curfman | 3568 Wildwood Avenue Jackson MI 49202 | No | No | No | Yes | |
1698718 | Rbi Pi Manager, Llc | 3568 Wildwood Avenue Jackson MI 49202 | No | No | Yes | Yes | |
1698720 | Rbi Private Investment I, Llc | 3568 Wildwood Avenue Jackson MI 49202 | No | No | No | Yes | |
1698822 | Plan Sharing Profit 401(K) Brothers Richmond | 3568 Wildwood Avenue Jackson MI 49202 | No | No | No | Yes | |
1755611 | Rbi Opportunities Fund, Llc | 3568 Wildwood Avenue Jackson MI 49202 | No | No | No | Yes | |
1772258 | Rbi Opportunities Fund Ii, Llc | 3568 Wildwood Avenue Jackson MI 49202 | No | No | No | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2020-06-30 | 1,712 | $1.94 | 180,751 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2020-06-30 | 3,156 | $1.95 | 183,907 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2020-06-30 | 1,682 | $1.94 | 29,778 | No | 4 | P | Indirect | By: Spouse of David S. Richmond |
Common Stock | Acquisiton | 2020-06-30 | 9 | $1.95 | 29,787 | No | 4 | P | Indirect | By: Spouse of David S. Richmond |
Common Stock | Acquisiton | 2020-06-30 | 650 | $1.94 | 797 | No | 4 | P | Indirect | By: Daughter of David S. Richmond |
Common Stock | Acquisiton | 2020-06-30 | 9,946 | $1.92 | 96,255 | No | 4 | P | Indirect | By: Richmond Brothers 401(k) Profit Sharing Plan |
Common Stock | Acquisiton | 2020-06-30 | 7,526 | $1.92 | 103,781 | No | 4 | P | Indirect | By: Richmond Brothers 401(k) Profit Sharing Plan |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Indirect | By: Spouse of David S. Richmond |
No | 4 | P | Indirect | By: Spouse of David S. Richmond |
No | 4 | P | Indirect | By: Daughter of David S. Richmond |
No | 4 | P | Indirect | By: Richmond Brothers 401(k) Profit Sharing Plan |
No | 4 | P | Indirect | By: Richmond Brothers 401(k) Profit Sharing Plan |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 52,837 | Indirect | By: Matthew J. Curfman |
Common Stock | 161,278 | Indirect | By: Richmond Brothers, Inc. |
Common Stock | 38,300 | Indirect | By: Spouse of Matthew J. Curfman |
Common Stock | 164,841 | Indirect | By: RBI Private Investment I, LLC |
Common Stock | 3,885,803 | Indirect | By: The RBI Opportunities Fund, LLC |
Common Stock | 38,490 | Indirect | By: RBI Private Investment II, LLC |
Common Stock | 1,655,759 | Indirect | By: The RBI Opportunities Fund II, LLC |
Common Stock | 7 | Indirect | By: Son of David S. Richmond |
Footnotes
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest.
- Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse.
- Represents securities directly owned by Mr. Richmond's daughter. Mr. Richmond may be deemed to beneficially own the securities owned directly by his daughter.
- Represents securities directly owned by Mr. Richmond's son. Mr. Richmond may be deemed to beneficially own the securities owned directly by his son.
- Represents securities directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed to beneficially own the securities owned directly by his spouse.