0001193805-20-001565.txt : 20201217 0001193805-20-001565.hdr.sgml : 20201217 20201217215923 ACCESSION NUMBER: 0001193805-20-001565 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200715 FILED AS OF DATE: 20201217 DATE AS OF CHANGE: 20201217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond David S. CENTRAL INDEX KEY: 0001698614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397876 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI Private Investment I, LLC CENTRAL INDEX KEY: 0001698720 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397877 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517) 435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI Private Investment II, LLC CENTRAL INDEX KEY: 0001697890 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397878 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517) 435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI OPPORTUNITIES FUND, LLC CENTRAL INDEX KEY: 0001755611 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397879 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: 517-435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI OPPORTUNITIES FUND II, LLC CENTRAL INDEX KEY: 0001772258 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397880 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: 517-435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI PI Manager, LLC CENTRAL INDEX KEY: 0001698718 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397881 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517)435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond Brothers 401(k) Profit Sharing Plan CENTRAL INDEX KEY: 0001698822 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397882 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517) 435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond Brothers, Inc. CENTRAL INDEX KEY: 0001540462 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397883 BUSINESS ADDRESS: STREET 1: 7415 FOXWORTH COURT CITY: JACKSON STATE: MI ZIP: 49201 BUSINESS PHONE: 517-536-5000 MAIL ADDRESS: STREET 1: 7415 FOXWORTH COURT CITY: JACKSON STATE: MI ZIP: 49201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Curfman Matthew J. CENTRAL INDEX KEY: 0001698617 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 201397884 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWELL MEDICAL, INC. CENTRAL INDEX KEY: 0001041024 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 383317208 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 30142 WIXOM ROAD CITY: WIXOM STATE: MI ZIP: 48393 BUSINESS PHONE: 8004493353 MAIL ADDRESS: STREET 1: 30142 WIXOM ROAD CITY: WIXOM STATE: MI ZIP: 48393 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL MEDICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 20120530 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL MEDICAL, INC. DATE OF NAME CHANGE: 20120525 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL MEDICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19970722 4 1 e620147_4-rmti.xml X0306 4 2020-07-15 0 0001041024 ROCKWELL MEDICAL, INC. RMTI 0001698614 Richmond David S. 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 1 1 See Footnotes 1 and 2 0001698720 RBI Private Investment I, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnotes 1 and 2 0001697890 RBI Private Investment II, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnotes 1 and 2 0001755611 RBI OPPORTUNITIES FUND, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnotes 1 and 2 0001772258 RBI OPPORTUNITIES FUND II, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnotes 1 and 2 0001698718 RBI PI Manager, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 1 1 See Footnotes 1 and 2 0001698822 Richmond Brothers 401(k) Profit Sharing Plan 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnotes 1 and 2 0001540462 Richmond Brothers, Inc. 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnotes 1, 2 and 3 0001698617 Curfman Matthew J. 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnotes 1 and 2 Common Stock 2020-12-15 4 S 0 234145 1.1067 D 3651658 I By: The RBI Opportunities Fund, LLC Common Stock 2020-12-15 4 S 0 43979 1.1000 D 1611780 I By: The RBI Opportunities Fund II, LLC Common Stock 2020-12-16 4 S 0 185855 1.0105 D 3465803 I By: The RBI Opportunities Fund, LLC Common Stock 2020-12-16 4 S 0 136021 1.0081 D 1475759 I By: The RBI Opportunities Fund II, LLC Common Stock 2020-12-16 4 S 0 100000 1.0236 D 64841 I By: RBI Private Investment I, LLC Common Stock 2020-12-16 4 S 0 100000 1.0236 D 61278 I By: Richmond Brothers, Inc. Common Stock 38490 I By: RBI Private Investment II, LLC Common Stock 108628 I By: Richmond Brothers 401(k) Profit Sharing Plan Common Stock 29787 I By: Spouse of David S. Richmond Common Stock 797 I By: Daughter of David S. Richmond Common Stock 7 I By: Son of David S. Richmond Common Stock 52837 I By: Matthew J. Curfman Common Stock 38300 I By: Spouse of Matthew J. Curfman 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. 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 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. 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 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 RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. 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. The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.10 to $1.145. The ReportingPersons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, fullinformation regarding the number of shares sold at each separate price within the ranges set forth in footnotes 14, 15, and 16 to this Form 4. The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.00 to $1.04. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 14, 15, and 16 to this Form 4. The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.00 to $1.03. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 14, 15, and 16 to this Form 4. By: /s/ David S. Richmond 2020-12-17 By: RBI Private Investment I, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2020-12-17 By: RBI Private Investment II, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2020-12-17 By: The RBI Opportunities Fund, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2020-12-17 By: The RBI Opportunities Fund II, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2020-12-17 By: RBI PI Manager, LLC; By: /s/ David S. Richmond, Manager 2020-12-17 By: Richmond Brothers 401(k) Profit Sharing Plan; By: /s/ David S. Richmond, Trustee 2020-12-17 By: Richmond Brothers, Inc.; By: /s/ David S. Richmond, Chairman 2020-12-17 By: /s/ Matthew J. Curfman 2020-12-17