RMTI

SEC source: 0001209191-17-067258 · doc4a.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

F1 · shares: Shares surrendered to the company in order to satisfy a portion of the option exercise price.

SEC source: 0001209191-17-067258 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,794,983

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: 0001209191-17-052145 · doc4.xml · derivative · entry 1

COOPER JOHN G · CIK 0001164287 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2027-09-05

F1 · derivative.exercise_date: This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, (c) the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic, or (d) immediately prior to a change in control. This grant can only be settled in cash.

SEC source: 0000921895-17-002244 · form411265002_08282017.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: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 42,100

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.

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: 0000921895-17-002244 · form411265002_08282017.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: 41,974

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.

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: 0000921895-17-002244 · form411265002_08282017.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: 41,868

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.

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: 0000921895-17-002244 · form411265002_08282017.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: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 41,783

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.

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: 0000921895-17-002244 · form411265002_08282017.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: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 41,628

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.

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: 0001209191-17-041688 · 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: 2,544,983

F1 · shares: Shares surrendered to Company in order to satisfy withholding tax obligations.

SEC source: 0001209191-17-041698 · doc4.xml · nonDerivative · entry 1

Pratt Raymond Dennis · CIK 0001548356 · VP of Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,970

F1 · shares: Shares surrendered to Company in order to satisfy withholding tax obligations.

SEC source: 0001209191-17-041695 · doc4.xml · nonDerivative · entry 1

Gupta Ajay · CIK 0001466676 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 490,949

F1 · shares: Shares surrendered to Company in order to satisfy withholding tax obligations.

SEC source: 0001209191-17-041691 · doc4.xml · nonDerivative · entry 1

KLEMA THOMAS E · CIK 0001215042 · Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,167

F1 · shares: Shares surrendered to Company in order to satisfy withholding tax obligations.

SEC source: 0000921895-17-001617 · form411265002_05232017.xml · derivative · entry 7

RAVICH MARK H · CIK 0000897727 · See Footnote 1

Norman J. Ravich Irrevocable Trust · CIK 0001698580 · See Footnote 1

Norman & Sally Ravich Family Trust · CIK 0001698591 · See Footnote 1

Alexander Coleman Ravich 1991 Irrevocable Trust · CIK 0001698545 · See Footnote 1

Alyssa Danielle Ravich 1991 Irrevocable Trust · CIK 0001698590 · See Footnote 1

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2017-05-19

F6 · derivative.exercise_date: The Call Options reported herein were exercisable beginning on the date of their purchase.

F1 · derivative.underlying: This Form 4 is filed jointly by Norman J. Ravich Irrevocable Trust ("NJR Trust"), Norman and Sally Ravich Family Trust ("NSR Trust"), Alexander Coleman Ravich 1991 Irrevocable Trust ("ACR Trust"), Alyssa Danielle Ravich 1991 Irrevocable Trust ("ADR Trust") and Mark H. Ravich (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.

F5 · ownership.nature: Represents securities owned directly by 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: 0000921895-17-001617 · form411265002_05232017.xml · derivative · entry 6

RAVICH MARK H · CIK 0000897727 · See Footnote 1

Norman J. Ravich Irrevocable Trust · CIK 0001698580 · See Footnote 1

Norman & Sally Ravich Family Trust · CIK 0001698591 · See Footnote 1

Alexander Coleman Ravich 1991 Irrevocable Trust · CIK 0001698545 · See Footnote 1

Alyssa Danielle Ravich 1991 Irrevocable Trust · CIK 0001698590 · 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: 0

Underlying: Common Stock · 30,000 shares

Expires 2017-05-19

F6 · derivative.exercise_date: The Call Options reported herein were exercisable beginning on the date of their purchase.

F1 · derivative.underlying: This Form 4 is filed jointly by Norman J. Ravich Irrevocable Trust ("NJR Trust"), Norman and Sally Ravich Family Trust ("NSR Trust"), Alexander Coleman Ravich 1991 Irrevocable Trust ("ACR Trust"), Alyssa Danielle Ravich 1991 Irrevocable Trust ("ADR Trust") and Mark H. Ravich (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.

SEC source: 0000921895-17-001617 · form411265002_05232017.xml · nonDerivative · entry 2

RAVICH MARK H · CIK 0000897727 · See Footnote 1

Norman J. Ravich Irrevocable Trust · CIK 0001698580 · See Footnote 1

Norman & Sally Ravich Family Trust · CIK 0001698591 · See Footnote 1

Alexander Coleman Ravich 1991 Irrevocable Trust · CIK 0001698545 · See Footnote 1

Alyssa Danielle Ravich 1991 Irrevocable Trust · CIK 0001698590 · See Footnote 1

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 10,000

F1 · security: This Form 4 is filed jointly by Norman J. Ravich Irrevocable Trust ("NJR Trust"), Norman and Sally Ravich Family Trust ("NSR Trust"), Alexander Coleman Ravich 1991 Irrevocable Trust ("ACR Trust"), Alyssa Danielle Ravich 1991 Irrevocable Trust ("ADR Trust") and Mark H. Ravich (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.

F5 · ownership.nature: Represents securities owned directly by 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: 0000921895-17-001617 · form411265002_05232017.xml · nonDerivative · entry 1

RAVICH MARK H · CIK 0000897727 · See Footnote 1

Norman J. Ravich Irrevocable Trust · CIK 0001698580 · See Footnote 1

Norman & Sally Ravich Family Trust · CIK 0001698591 · See Footnote 1

Alexander Coleman Ravich 1991 Irrevocable Trust · CIK 0001698545 · See Footnote 1

Alyssa Danielle Ravich 1991 Irrevocable Trust · CIK 0001698590 · 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: 314,750

F1 · security: This Form 4 is filed jointly by Norman J. Ravich Irrevocable Trust ("NJR Trust"), Norman and Sally Ravich Family Trust ("NSR Trust"), Alexander Coleman Ravich 1991 Irrevocable Trust ("ACR Trust"), Alyssa Danielle Ravich 1991 Irrevocable Trust ("ADR Trust") and Mark H. Ravich (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.

SEC source: 0000921895-17-000813 · form411265002_03232017.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: RBI Private Investment II, LLC

Disclosed balance after: 29,802

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: 0001209191-17-022661 · 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: 2,663,933

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001209191-17-022661 · 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: 2,618,933

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001209191-17-022667 · doc4.xml · nonDerivative · entry 1

Bagley Patrick J · CIK 0001335829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,550

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001209191-17-022666 · doc4.xml · nonDerivative · entry 1

BOYD RONALD D · CIK 0001231446 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,300

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001209191-17-022664 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,800

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001209191-17-022663 · doc4.xml · nonDerivative · entry 1

Pratt Raymond Dennis · CIK 0001548356 · VP of Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,200

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001209191-17-022662 · doc4.xml · nonDerivative · entry 1

Gupta Ajay · CIK 0001466676 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 560,167

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001209191-17-022659 · doc4.xml · nonDerivative · entry 1

KLEMA THOMAS E · CIK 0001215042 · Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 723,440

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

F2 · balance_after: Since the date of the reporting person's last ownership report, he has transferred 22,400 shares of common stock to his ex-wife pursuant to a domestic relations order.

SEC source: 0000921895-17-000813 · form411265002_03232017.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: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 41,495

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.

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: 0000921895-17-000813 · form411265002_03232017.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: 8,726

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: 0001209191-17-021801 · doc4.xml · nonDerivative · entry 4

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,630

SEC source: 0001209191-17-021801 · doc4.xml · nonDerivative · entry 3

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,830

SEC source: 0001209191-17-021801 · doc4.xml · nonDerivative · entry 2

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,730

SEC source: 0001209191-17-021801 · doc4.xml · nonDerivative · entry 1

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,430

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 11

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,630

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 10

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,130

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 9

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,630

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 8

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,130

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 7

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,630

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 6

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,130

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 5

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,630

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 4

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,130

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 3

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,630

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 2

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,130

SEC source: 0001209191-16-149906 · doc4.xml · nonDerivative · entry 1

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,355

SEC source: 0001209191-16-148233 · doc4.xml · nonDerivative · entry 1

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,355

SEC source: 0001209191-16-146609 · doc4.xml · nonDerivative · entry 2

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,755

SEC source: 0001209191-16-146609 · doc4.xml · nonDerivative · entry 1

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,338

SEC source: 0001209191-16-142700 · doc4.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2026-09-21

F1 · derivative.exercise_date: This option vests in three equal installments on September 21, 2017, September 21, 2018 and September 21, 2019.

SEC source: 0001209191-16-142173 · doc4.xml · nonDerivative · entry 2

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,288

SEC source: 0001209191-16-142173 · doc4.xml · nonDerivative · entry 1

HOLT KENNETH L · CIK 0001231447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,858