RMTI

SEC source: 0001104659-19-025340 · a4.xml · derivative · entry 2

Pratt Raymond Dennis · CIK 0001548356 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2029-04-25

F2 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001104659-19-025340 · a4.xml · nonDerivative · entry 1

Pratt Raymond Dennis · CIK 0001548356 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,970

F1 · kind: Restricted stock units vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer.

F1 · shares: Restricted stock units vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0000921895-19-000947 · form411265002_03292019.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: Direct

Disclosed balance after: 177,930

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.

F3 · security: 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: 0000921895-19-000947 · form411265002_03292019.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: Matthew J. Curfman

Disclosed balance after: 42,764

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.

F3 · security: 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: 0000921895-19-000947 · form411265002_03292019.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: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 63,481

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.

F3 · security: 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.

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: 0000921895-19-000947 · form411265002_03292019.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: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 62,762

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.

F3 · security: 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.

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: 0000921895-19-000947 · form411265002_03292019.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: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 61,732

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.

F3 · security: 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.

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: 0000921895-19-000947 · form411265002_03292019.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: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 60,411

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.

F3 · security: 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.

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: 0001104659-19-039159 · a4.xml · nonDerivative · entry 1

Paul Stuart M · CIK 0001375821 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,798

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 289,625 shares of common stock underlying unvested restricted stock unit awards.

SEC source: 0001104659-18-074918 · a4.xml · nonDerivative · entry 2

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,950

F2 · balance_after: Includes 22,200 shares of the Issuer's Common Stock distributed to Mr. Ravich in the transaction described in footnote (1).

SEC source: 0001104659-18-074918 · a4.xml · nonDerivative · entry 1

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Norman J. Ravich Irrevocable Trust

Disclosed balance after: 0

F1 · ownership.nature: Represents securities owned directly by Norman J. Ravich Irrevocable Trust ("NJR Trust"). On December 21, 2018, 44,400 shares of the Issuer's Common Stock held in this trust were distributed pro rata to the beneficiaries of the NJR Trust. 22,200 shares of the Issuer's Common Stock were distributed to Mr. Ravich and are reported in this Form 4 as directly owned. Mr. Ravich, as the trustee of NJR Trust, may be deemed to beneficially own the securities owned directly by NJR Trust.

SEC source: 0001104659-18-070670 · a4.xml · derivative · entry 2

Smith Angus W. · CIK 0001730835 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,333

Underlying: Common Stock · 333,333 shares

Expires 2028-11-28

F2 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of November 28, 2018.

SEC source: 0001104659-18-070670 · a4.xml · nonDerivative · entry 1

Smith Angus W. · CIK 0001730835 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

F1 · kind: Restricted stock units vest with respect to 83,334 shares in three equal installments on the first, second and third anniversaries of November 28, 2018, with the remainder vesting upon achievement of specified milestone events.

F1 · shares: Restricted stock units vest with respect to 83,334 shares in three equal installments on the first, second and third anniversaries of November 28, 2018, with the remainder vesting upon achievement of specified milestone events.

SEC source: 0000921895-18-002794 · form411265002_10172018.xml · derivative · entry 11

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 and 2

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: 5,541,562

Underlying: Common Stock · 2,770,781 shares

Expires 2023-10-17

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"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F4 · derivative.exercise_price: On October 15, 2018, RBI Opportunities purchased 5,541,562 shares of Common Stock and warrants to purchase 2,770,781 shares of Common Stock for an aggregate purchase price of $22 million pursuant to a private placement by the Issuer. The reported securities are included within 5,541,562 Units purchased by RBI Opportunities for $3.97 per Unit. Each Unit consists of one share of Common Stock and a warrant to purchase 50% of a share of Common Stock. The warrants have an exercise price of $4.96 per full share of Common Stock.

F4 · price: On October 15, 2018, RBI Opportunities purchased 5,541,562 shares of Common Stock and warrants to purchase 2,770,781 shares of Common Stock for an aggregate purchase price of $22 million pursuant to a private placement by the Issuer. The reported securities are included within 5,541,562 Units purchased by RBI Opportunities for $3.97 per Unit. Each Unit consists of one share of Common Stock and a warrant to purchase 50% of a share of Common Stock. The warrants have an exercise price of $4.96 per full share of Common Stock.

F5 · 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: 0000921895-18-002794 · form411265002_10172018.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 and 2

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: 5,541,562

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"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F3 · security: 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.

F4 · price: On October 15, 2018, RBI Opportunities purchased 5,541,562 shares of Common Stock and warrants to purchase 2,770,781 shares of Common Stock for an aggregate purchase price of $22 million pursuant to a private placement by the Issuer. The reported securities are included within 5,541,562 Units purchased by RBI Opportunities for $3.97 per Unit. Each Unit consists of one share of Common Stock and a warrant to purchase 50% of a share of Common Stock. The warrants have an exercise price of $4.96 per full share of Common Stock.

F5 · 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: 0001104659-18-061831 · a4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,949

F1 · shares: Restricted stock grant. Restrictions lapse as to all of the shares on October 7, 2019, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001104659-18-058240 · a4.xml · derivative · entry 3

Kull David · CIK 0001752569 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-11-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Stock option vested in full on the third anniversary of date of grant.

SEC source: 0001104659-18-058240 · a4.xml · nonDerivative · entry 2

Kull David · CIK 0001752569 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,270

F1 · kind: Represents shares surrendered to the Issuer in satisfaction of the exercise price for the stock option and the payment of required withholding taxes pursuant to a "net exercise" of the stock option. Following the required withholdings under the net exercise, the Reporting Person was issued a total of 870 shares of the Issuer's Common Stock upon exercise of the stock option.

SEC source: 0001104659-18-058240 · a4.xml · nonDerivative · entry 1

Kull David · CIK 0001752569 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-18-002194 · doc1.xml · derivative · entry 2

Paul Stuart M · CIK 0001375821 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,125

Underlying: Common Stock · 388,125 shares

Expires 2028-09-04

F2 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of September 4, 2018.

SEC source: 0001567619-18-002194 · doc1.xml · nonDerivative · entry 1

Paul Stuart M · CIK 0001375821 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,125

F1 · kind: Restricted stock units vest with respect to 98,500 shares on December 31, 2018, with the remainder vesting in three equal installments on the first, second and third anniversaries of September 4, 2018.

F1 · shares: Restricted stock units vest with respect to 98,500 shares on December 31, 2018, with the remainder vesting in three equal installments on the first, second and third anniversaries of September 4, 2018.

SEC source: 0001104659-18-058238 · a4.xml · derivative · entry 1

Kull David · CIK 0001752569 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-08-24

F1 · derivative.exercise_date: This option represents a right to purchase a total of 25,000 shares of the Issuer's Common Stock, one third of which will become fully vested and exercisable on August 24, 2019, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0000921895-18-002049 · form411265002_07022018.xml · nonDerivative · entry 6

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment I, LLC · CIK 0001698720 · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnote 1

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Spouse of Matthew J. Curfman

Disclosed balance after: 36,249

F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F2 · security: 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.

F10 · ownership.nature: Represents securities directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed to beneficially own the securities owned directly by his spouse.

SEC source: 0000921895-18-002049 · form411265002_07022018.xml · nonDerivative · entry 5

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment I, LLC · CIK 0001698720 · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnote 1

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Matthew J. Curfman

Disclosed balance after: 42,536

F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F2 · security: 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: 0000921895-18-002049 · form411265002_07022018.xml · nonDerivative · entry 4

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment I, LLC · CIK 0001698720 · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnote 1

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

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: 52,680

F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F2 · security: 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.

F6 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest.

F5 · 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: 0000921895-18-002049 · form411265002_07022018.xml · nonDerivative · entry 3

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment I, LLC · CIK 0001698720 · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnote 1

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

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: 52,537

F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F2 · security: 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.

F6 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest.

F5 · 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: 0000921895-18-002049 · form411265002_07022018.xml · nonDerivative · entry 2

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment I, LLC · CIK 0001698720 · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnote 1

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 38,490

F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F2 · security: 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.

F4 · ownership.nature: 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.

SEC source: 0000921895-18-002049 · form411265002_07022018.xml · nonDerivative · entry 1

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment I, LLC · CIK 0001698720 · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnote 1

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 34,423

F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F2 · security: 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.

F4 · ownership.nature: 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.

SEC source: 0001140361-18-014507 · doc1.xml · derivative · entry 1

RAVICH MARK H · CIK 0000897727 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,416

Underlying: Common Stock · 38,416 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

SEC source: 0001140361-18-014509 · doc1.xml · derivative · entry 1

Wolin Benjamin · CIK 0001492650 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,501

Underlying: Common Stock · 52,501 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

SEC source: 0001140361-18-014505 · doc1.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,985

Underlying: Common Stock · 38,985 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

SEC source: 0001140361-18-014502 · doc1.xml · derivative · entry 1

COOPER JOHN G · CIK 0001164287 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,838

Underlying: Common Stock · 39,838 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

SEC source: 0001140361-18-014500 · doc1.xml · derivative · entry 1

COLLERAN LISA N · CIK 0001212312 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,281

Underlying: Common Stock · 36,281 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

SEC source: 0001140361-18-014496 · doc1.xml · derivative · entry 1

Bagley Patrick J · CIK 0001335829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,724

Underlying: Common Stock · 32,724 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

SEC source: 0001140361-18-014498 · doc1.xml · derivative · entry 1

BOYD RONALD D · CIK 0001231446 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,139

Underlying: Common Stock · 36,139 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

SEC source: 0001209191-17-066455 · doc4.xml · derivative · entry 4

CHIOINI ROBERT L · CIK 0001079761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2008-04-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option became exercisable in three equal installments on April 3, 2009, April 3, 2010, and April 3, 2011.

SEC source: 0001209191-17-066455 · doc4.xml · derivative · entry 3

CHIOINI ROBERT L · CIK 0001079761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires 2007-12-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option became exercisable in three equal installments on December 17, 2008, December 17, 2009, and December 17, 2010.

SEC source: 0001209191-17-066455 · doc4.xml · nonDerivative · entry 2

CHIOINI ROBERT L · CIK 0001079761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,549,907

SEC source: 0001209191-17-066455 · doc4.xml · nonDerivative · entry 1

CHIOINI ROBERT L · CIK 0001079761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,869,983

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000921895-17-002917 · form411265002_12192017.xml · nonDerivative · entry 1

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment I, LLC · CIK 0001698720 · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnote 1

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,376

F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. The filing of this Form 4 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 securities of the Issuer he or it does not directly own.

F2 · security: 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: 0001209191-17-066454 · doc4.xml · derivative · entry 5

Bagley Patrick J · CIK 0001335829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2017-12-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The option became exercisable in three equal installments on December 17, 2008, December 17, 2009, and December 17, 2010.

SEC source: 0001209191-17-066454 · doc4.xml · nonDerivative · entry 2

Bagley Patrick J · CIK 0001335829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,307

SEC source: 0001209191-17-066454 · doc4.xml · nonDerivative · entry 1

Bagley Patrick J · CIK 0001335829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,550

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-17-066451 · doc4.xml · derivative · entry 3

KLEMA THOMAS E · CIK 0001215042 · Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 87,500 shares

Expires 2017-12-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option became exercisable in three equal installments on December 17, 2008, December 17, 2009, and December 17, 2010.

F2 · balance_after: Since the date of the reporting person's last ownership report with respect to this option, he transferred 87,500 of the 175,000 options granted on 12/17/2007 directly to his former spouse to satisfy a portion of his obligations pursuant to a qualified domestic relations order.

SEC source: 0001209191-17-066451 · doc4.xml · nonDerivative · entry 2

KLEMA THOMAS E · CIK 0001215042 · Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 671,492

SEC source: 0001209191-17-066451 · doc4.xml · nonDerivative · entry 1

KLEMA THOMAS E · CIK 0001215042 · Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 757,667

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-17-066449 · doc4.xml · derivative · entry 3

BOYD RONALD D · CIK 0001231446 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2017-12-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option became exercisable in three equal installments on December 17, 2008, December 17, 2009, and December 17, 2010.

SEC source: 0001209191-17-066449 · doc4.xml · nonDerivative · entry 2

BOYD RONALD D · CIK 0001231446 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,678

SEC source: 0001209191-17-066449 · doc4.xml · nonDerivative · entry 1

BOYD RONALD D · CIK 0001231446 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,300

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-17-067258 · doc4a.xml · derivative · entry 3

CHIOINI ROBERT L · CIK 0001079761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires 2017-12-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: On December 19, 2017, the reporting person mistakenly filed a Form 4 reporting that an option which became exercisable in three equal installments on April 3, 2009, April 3, 2010, and April 3, 2011 for 75,000 shares had been exercised. Such option has not been exercised by the reporting person.

F3 · derivative.exercise_date: The option became exercisable in three equal installments on December 17, 2008, December 17, 2009, and December 17, 2010.