RMTI

SEC source: 0001628280-21-011604 · wf-form4_162275343537459.xml · derivative · entry 1

Hoffman Marc L · CIK 0001795312 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Stock options vest in two equal installments on the second and fourth anniversaries of May 3, 2021, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001628280-21-011603 · wf-form4_162275340027780.xml · derivative · entry 1

ELLISON RUSSELL H · CIK 0001374805 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Stock options vest in two equal installments on the second and fourth anniversaries of May 3, 2021, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001628280-21-011602 · wf-form4_162275335423246.xml · derivative · entry 1

McGarry Paul E · CIK 0001780044 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Stock options vest in two equal installments on the second and fourth anniversaries of May 3, 2021, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001628280-21-011601 · wf-form4_162275328528639.xml · derivative · entry 1

Pratt Raymond Dennis · CIK 0001548356 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Common Stock · 112,500 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Stock options vest in two equal installments on the second and fourth anniversaries of May 3, 2021, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001193805-20-001616 · e620174_4-rmti.xml · nonDerivative · entry 1

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: The RBI Opportunities Fund II, LLC

Disclosed balance after: 1,433,309

F1 · security: 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.

F2 · security: 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.

F4 · ownership.nature: 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.

SEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 6

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Richmond Brothers, Inc.

Disclosed balance after: 61,278

F1 · security: 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.

F2 · security: 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.

F6 · ownership.nature: 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.

F7 · ownership.nature: 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.

SEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 5

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: RBI Private Investment I, LLC

Disclosed balance after: 64,841

F1 · security: 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.

F2 · security: 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.

F5 · ownership.nature: 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.

SEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 4

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: The RBI Opportunities Fund II, LLC

Disclosed balance after: 1,475,759

F1 · security: 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.

F2 · security: 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.

F16 · price: 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.

F4 · ownership.nature: 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.

SEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 3

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: The RBI Opportunities Fund, LLC

Disclosed balance after: 3,465,803

F1 · security: 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.

F2 · security: 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.

F15 · price: 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.

F3 · ownership.nature: 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.

SEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 2

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: The RBI Opportunities Fund II, LLC

Disclosed balance after: 1,611,780

F1 · security: 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.

F2 · security: 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.

F4 · ownership.nature: 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.

SEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 1

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: The RBI Opportunities Fund, LLC

Disclosed balance after: 3,651,658

F1 · security: 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.

F2 · security: 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.

F14 · price: 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.

F3 · ownership.nature: 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.

SEC source: 0001628280-20-017530 · wf-form4_160806782689725.xml · derivative · entry 2

Smiley Andrea Heslin · CIK 0001703767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,042

Underlying: Call Option (right to buy) · Not disclosed shares

Expires 2030-12-11

F2 · derivative.exercise_date: Stock options vest on December 11, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-017530 · wf-form4_160806782689725.xml · nonDerivative · entry 1

Smiley Andrea Heslin · CIK 0001703767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,601

F1 · kind: Restricted stock units vest on December 11, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-017529 · wf-form4_160806780280961.xml · nonDerivative · entry 1

Nissenson Allen · CIK 0001441889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,488

F1 · kind: Restricted stock units vest on December 11, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-017292 · wf-form4_160755112113783.xml · nonDerivative · entry 2

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BY: Revocable Trust of Mark H Ravich

Disclosed balance after: 219,905

F1 · kind: Represents the transfer of shares of common stock from Cindy Libman Irrevocable Trust ("CL Trust") to Revocable Trust of Mark H Ravich ("MHR Trust"). The Reporting Person is the trustee of each of the CL Trust and the MHR Trust. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfer reported herein.

F3 · ownership.nature: Represents securities owned directly by Revocable Trust of Mark H Ravich ("MHR Trust"). Mr. Ravich, as the trustee of MHR Trust, may be deemed to beneficially own the securities owned directly by MHR Trust.

SEC source: 0001628280-20-017292 · wf-form4_160755112113783.xml · nonDerivative · entry 1

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Cindy Libman Irrevocable Trust

Disclosed balance after: 0

F1 · kind: Represents the transfer of shares of common stock from Cindy Libman Irrevocable Trust ("CL Trust") to Revocable Trust of Mark H Ravich ("MHR Trust"). The Reporting Person is the trustee of each of the CL Trust and the MHR Trust. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfer reported herein.

F2 · ownership.nature: Represents securities owned directly by CL Trust. Mr. Ravich, as the trustee of CL Trust, may be deemed to beneficially own the securities owned directly by CL Trust.

SEC source: 0001628280-20-013684 · wf-form4_160030648779893.xml · derivative · entry 2

SKIBSTED RUSSELL · CIK 0001308105 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-09-15

F2 · derivative.exercise_date: Stock options vest upon achievement of specified milestone events.

SEC source: 0001628280-20-013684 · wf-form4_160030648779893.xml · derivative · entry 1

SKIBSTED RUSSELL · CIK 0001308105 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2030-09-15

F1 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of September 15, 2020.

SEC source: 0001628279-20-000218 · wf-form4_159960646138892.xml · nonDerivative · entry 7

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Cindy Libman Irrevocable Trust

Disclosed balance after: 219,905

F1 · kind: Represents the transfer of shares of common stock to Cindy Libman Irrevocable Trust ("CL Trust") for which the Reporting Person is the trustee. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfers reported herein.

F10 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.21 to $1.22 inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range.

F7 · ownership.nature: Represents securities owned directly by CL Trust. Mr. Ravich, as the trustee of CL Trust, may be deemed to beneficially own the securities owned directly by CL Trust.

SEC source: 0001628279-20-000218 · wf-form4_159960646138892.xml · nonDerivative · entry 6

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Alyssa Danielle Ravich 1991 Irrevocable Trust

Disclosed balance after: 16,000

F1 · kind: Represents the transfer of shares of common stock to Cindy Libman Irrevocable Trust ("CL Trust") for which the Reporting Person is the trustee. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfers reported herein.

F9 · ownership.nature: Represents securities owned directly by Alyssa Danielle Ravich 1991 Irrevocable Trust ("ADR Trust"). Mr. Ravich, as the trustee of ADR Trust, may be deemed to beneficially own the securities owned directly by ADR Trust.

SEC source: 0001628279-20-000218 · wf-form4_159960646138892.xml · nonDerivative · entry 5

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Alexander Coleman Ravich 1991 Irrevocable Trust

Disclosed balance after: 9,000

F1 · kind: Represents the transfer of shares of common stock to Cindy Libman Irrevocable Trust ("CL Trust") for which the Reporting Person is the trustee. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfers reported herein.

F8 · ownership.nature: Represents securities owned directly by Alexander Coleman Ravich 1991 Irrevocable Trust ("ACR Trust"). Mr. Ravich, as the trustee of ACR Trust, may be deemed to beneficially own the securities owned directly by ACR Trust.

SEC source: 0001628279-20-000218 · wf-form4_159960646138892.xml · nonDerivative · entry 4

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,604

F1 · kind: Represents the transfer of shares of common stock to Cindy Libman Irrevocable Trust ("CL Trust") for which the Reporting Person is the trustee. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfers reported herein.

F3 · balance_after: Includes 30,000 shares of common stock underlying unvested restricted stock units that vest based on the achievement of certain time-based milestones.

SEC source: 0001628279-20-000218 · wf-form4_159960646138892.xml · nonDerivative · entry 3

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Cindy Libman Irrevocable Trust

Disclosed balance after: 194,905

F1 · kind: Represents the transfer of shares of common stock to Cindy Libman Irrevocable Trust ("CL Trust") for which the Reporting Person is the trustee. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfers reported herein.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.20 to $1.23 inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range.

F7 · ownership.nature: Represents securities owned directly by CL Trust. Mr. Ravich, as the trustee of CL Trust, may be deemed to beneficially own the securities owned directly by CL Trust.

SEC source: 0001628279-20-000218 · wf-form4_159960646138892.xml · nonDerivative · entry 2

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Norman and Sally Ravich Family Trust

Disclosed balance after: 0

F1 · kind: Represents the transfer of shares of common stock to Cindy Libman Irrevocable Trust ("CL Trust") for which the Reporting Person is the trustee. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfers reported herein.

F4 · shares: Includes 1,000 shares which were inadvertently omitted in previous filings due to administrative error.

F5 · ownership.nature: Represents securities owned directly by Norman and Sally Ravich Family Trust ("NSR Trust"). Mr. Ravich, as the trustee of NSR Trust, may be deemed to beneficially own the securities owned directly by NSR Trust.

SEC source: 0001628279-20-000218 · wf-form4_159960646138892.xml · nonDerivative · entry 1

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,604

F1 · kind: Represents the transfer of shares of common stock to Cindy Libman Irrevocable Trust ("CL Trust") for which the Reporting Person is the trustee. The Reporting Person's total beneficial ownership in the Issuer has not changed, as he was the beneficial owner of these shares both before and after the transfers reported herein.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.21 to $1.22 inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range.

F3 · balance_after: Includes 30,000 shares of common stock underlying unvested restricted stock units that vest based on the achievement of certain time-based milestones.

SEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 7

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 103,781

F1 · security: 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.

F2 · security: 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.

F9 · ownership.nature: 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.

SEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 6

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 96,255

F1 · security: 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.

F2 · security: 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.

F10 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest.

F9 · ownership.nature: 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.

SEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 5

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Daughter of David S. Richmond

Disclosed balance after: 797

F1 · security: 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.

F2 · security: 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.

F12 · ownership.nature: Represents securities directly owned by Mr. Richmond's daughter. Mr. Richmond may be deemed to beneficially own the securities owned directly by his daughter.

SEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 4

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Spouse of David S. Richmond

Disclosed balance after: 29,787

F1 · security: 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.

F2 · security: 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.

F11 · ownership.nature: Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse.

SEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 3

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Spouse of David S. Richmond

Disclosed balance after: 29,778

F1 · security: 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.

F2 · security: 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.

F11 · ownership.nature: Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse.

SEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 2

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,907

F1 · security: 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.

F2 · security: 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.

SEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 1

Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2

RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2

RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2

RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2

Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3

Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2

RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,751

F1 · security: 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.

F2 · security: 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.

SEC source: 0001628280-20-009344 · wf-form4_159199304249282.xml · derivative · entry 2

Nissenson Allen · CIK 0001441889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,639

Underlying: Common Stock · 34,639 shares

Expires 2030-06-11

F2 · derivative.exercise_date: Stock options vest on June 11, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-009344 · wf-form4_159199304249282.xml · nonDerivative · entry 1

Nissenson Allen · CIK 0001441889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

F1 · kind: Restricted stock units vest on June 11, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-009345 · wf-form4_159199306704678.xml · derivative · entry 1

McGarry Paul E · CIK 0001780044 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-06-11

F1 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of June 11, 2020, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-008127 · wf-form4_159000721396814.xml · derivative · entry 5

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,024

Underlying: Common Stock · 34,024 shares

Expires 2030-05-18

F6 · derivative.exercise_date: Stock options vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-008127 · wf-form4_159000721396814.xml · nonDerivative · entry 1

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,509

F1 · kind: Restricted stock units vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

F2 · balance_after: Includes 19,759 shares of common stock underlying unvested restricted stock units that vest based on the achievement of certain time-based milestones.

SEC source: 0001628280-20-008126 · wf-form4_159000719341144.xml · derivative · entry 2

MCLAUGHLIN JOHN PETER · CIK 0001277967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,024

Underlying: Common Stock · 34,024 shares

Expires 2030-05-18

F3 · derivative.exercise_date: Stock options vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-008126 · wf-form4_159000719341144.xml · nonDerivative · entry 1

MCLAUGHLIN JOHN PETER · CIK 0001277967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,974

F1 · kind: Restricted stock units vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

F2 · balance_after: Includes 35,174 shares of common stock underlying unvested restricted stock units that vest based upon the achievement of certain time-based milestones. Subject to the Reporting Person's continued service to the Issuer, the 22,559 restricted stick units and 28,372 stock options granted to the Reporting Person on September 5, 2019 will vest on September 5, 2020, because the Issuer's Long Term Incentive Plan requires a minimum one-year vesting period for all awards. The Reporting Person's Form 4 filed on September 6, 2019 used a vesting date of June 6, 2019 in error.

SEC source: 0001628280-20-008125 · wf-form4_159000717234796.xml · derivative · entry 2

COOPER JOHN G · CIK 0001164287 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,024

Underlying: Common Stock · 34,024 shares

Expires 2030-05-18

F3 · derivative.exercise_date: Stock options vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-008125 · wf-form4_159000717234796.xml · nonDerivative · entry 1

COOPER JOHN G · CIK 0001164287 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,879

F1 · kind: Restricted stock units vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

F2 · balance_after: Includes 19,879 shares of common stock underlying unvested restricted stock units that based on the achievement of certain time-based milestones.

SEC source: 0001628280-20-008124 · wf-form4_159000715016150.xml · derivative · entry 2

Radie Robert S · CIK 0001591113 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,024

Underlying: Common Stock · 34,024 shares

Expires 2030-05-18

F3 · derivative.exercise_date: Stock options vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-008124 · wf-form4_159000715016150.xml · nonDerivative · entry 1

Radie Robert S · CIK 0001591113 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,689

F1 · kind: Restricted stock units vest on May 18, 2021, subject to the Reporting Person's continued service to the Issuer.

F2 · balance_after: Includes 3,689 shares of common stock underlying unvested restricted stock units that vest based on the achievement of certain time-based milestones.

SEC source: 0001628280-20-007836 · wf-form4_158949184512539.xml · nonDerivative · entry 1

ELLISON RUSSELL H · CIK 0001374805 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,050

F1 · balance_after: 1. Includes 10,050 shares of common stock underlying unvested restricted stock units that vest based on the achievement of certain time-based milestones.

SEC source: 0001628280-20-005498 · wf-form4_158801270225641.xml · nonDerivative · entry 1

Pratt Raymond Dennis · CIK 0001548356 · VP of Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,358

F1 · kind: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units.

F2 · balance_after: Includes 26,667 shares of common stock underlying unvested restricted stock unit awards that vest based on the achievement of time-based milestones.

SEC source: 0001628280-20-005497 · wf-form4_158801263545010.xml · nonDerivative · entry 1

Gupta Ajay · CIK 0001466676 · Sr. VP & Chief Scientific Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,700

F1 · kind: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units.

F2 · balance_after: Includes 11,334 shares of common stock underlying unvested restricted stock unit awards that vest based on the achievement of time-based milestones.

SEC source: 0001628280-20-005152 · wf-form4_158741477317631.xml · derivative · entry 2

ELLISON RUSSELL H · CIK 0001374805 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2030-04-17

F2 · derivative.exercise_date: Stock options vest upon achievement of specified milestone events. Stock options are subject to stockholder approval of an increase in the share reserve under the Rockwell Medical, Inc. 2018 Long-Term Incentive Plan at the 2020 annual meeting of stockholders.

SEC source: 0001628280-20-005152 · wf-form4_158741477317631.xml · derivative · entry 1

ELLISON RUSSELL H · CIK 0001374805 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2030-04-17

F1 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of April 17, 2020.

SEC source: 0001628280-20-004457 · wf-form4_158577280946345.xml · derivative · entry 2

Radie Robert S · CIK 0001591113 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,148

Underlying: Common Stock · 6,148 shares

Expires 2030-03-31

F2 · derivative.exercise_date: Stock options vest on March 31, 2021, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001628280-20-004457 · wf-form4_158577280946345.xml · nonDerivative · entry 1

Radie Robert S · CIK 0001591113 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,689

F1 · kind: Restricted stock units vest on March 31, 2021, subject to the Reporting Person's continued service to the Issuer.