Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AIR INDUSTRIES GROUPAIRI · Entity 7887 | 10% owner · See Footnote 1 | December 11, 2020 | December 17, 2020 |
| ROCKWELL MEDICAL, INC.RMTI · Entity 7426 | 10% owner · See Footnotes 1 and 2 | December 21, 2020 | December 23, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AIR INDUSTRIES GROUP
Report date December 11, 2020 · Filed December 17, 2020
Jointly reported with RBI Private Investment II, LLC, RBI Private Investment III, LLC, RBI PI Manager, LLC, Richmond Brothers 401(k) Profit Sharing Plan, Richmond Brothers, Inc., Curfman Matthew J.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: RBI Private Investment III, LLC | 711,408 |
Last balance in matching sequence
After 2020-12-16 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2020-12-11 · Sale · Disposed 1,330 · Balance 798,670 F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F6: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.26. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Row 2 · 2020-12-14 · Sale · Disposed 34,129 · Balance 764,541 F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F7: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.22. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Row 3 · 2020-12-15 · Sale · Disposed 18,471 · Balance 746,070 F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F8: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.21. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Row 4 · 2020-12-16 · Sale · Disposed 34,662 · Balance 711,408 F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F9: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.215. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. |
| Common StockSEC Table I · non-derivative | IndirectBy: RBI Private Investment II, LLC | 15,333 |
Reported balance
Holding disclosure · report date 2020-12-11 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 15,333 F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F4: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy: Richmond Brothers 401(k) Profit Sharing Plan | 83,235 |
Reported balance
Holding disclosure · report date 2020-12-11 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 83,235 F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F5: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy: Matthew J. Curfman | 9,155 |
Reported balance
Holding disclosure · report date 2020-12-11 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 9,155 F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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: Not reported herein are securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16.
F3: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII.
F4: 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.
F5: 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.
F6: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.26. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.
F7: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.22. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.
F8: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.21. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.
F9: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.215. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.
ROCKWELL MEDICAL, INC.
Report date December 21, 2020 · Filed December 23, 2020
Jointly reported with RBI Private Investment I, LLC, RBI Private Investment II, LLC, RBI OPPORTUNITIES FUND, LLC, RBI OPPORTUNITIES FUND II, LLC, RBI PI Manager, LLC, Richmond Brothers 401(k) Profit Sharing Plan, Richmond Brothers, Inc., Curfman Matthew J.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: The RBI Opportunities Fund II, LLC | 1,433,309 |
Reported balance
After 2020-12-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-21 · Sale · Disposed 42,450 · Balance 1,433,309 F1: 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: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F4: Represents securities directly owned by RBI Opportunities II. RBI Manager, as the manager of RBI Opportunities II, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. |
| Common StockSEC Table I · non-derivative | IndirectBy: The RBI Opportunities Fund, LLC | 3,465,803 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,465,803 F1: 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: 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: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy: RBI Private Investment I, LLC | 64,841 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 64,841 F1: 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: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F5: Represents securities directly owned by RBI PI. RBI Manager, as the manager of RBI PI, may be deemed to beneficially own the securities owned directly by RBI PI. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PI. |
| Common StockSEC Table I · non-derivative | IndirectBy: Richmond Brothers, Inc. | 61,278 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 61,278 F1: 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: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F6: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. F7: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy: RBI Private Investment II, LLC | 38,490 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 38,490 F1: 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: 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. F8: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy: Richmond Brothers 401(k) Profit Sharing Plan | 108,628 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 108,628 F1: 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: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy: Spouse of David S. Richmond | 29,787 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 29,787 F1: 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: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F10: Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse. |
| Common StockSEC Table I · non-derivative | IndirectBy: Daughter of David S. Richmond | 797 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 797 F1: 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: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F11: Represents securities directly owned by Mr. Richmond's daughter. Mr. Richmond may be deemed to beneficially own the securities owned directly by his daughter. |
| Common StockSEC Table I · non-derivative | IndirectBy: Son of David S. Richmond | 7 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 7 F1: 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: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F12: Represents securities directly owned by Mr. Richmond's son. Mr. Richmond may be deemed to beneficially own the securities owned directly by his son. |
| Common StockSEC Table I · non-derivative | IndirectBy: Matthew J. Curfman | 52,837 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 52,837 F1: 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: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy: Spouse of Matthew J. Curfman | 38,300 |
Reported balance
Holding disclosure · report date 2020-12-21 · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · Balance 38,300 F1: 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: 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. F13: Represents securities directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed to beneficially own the securities owned directly by his spouse. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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: 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.
F4: Represents securities directly owned by RBI Opportunities II. RBI Manager, as the manager of RBI Opportunities II, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities II.
F5: Represents securities directly owned by RBI PI. RBI Manager, as the manager of RBI PI, may be deemed to beneficially own the securities owned directly by RBI PI. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PI.
F6: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers.
F7: 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.
F8: 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.
F9: 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.
F10: Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse.
F11: Represents securities directly owned by Mr. Richmond's daughter. Mr. Richmond may be deemed to beneficially own the securities owned directly by his daughter.
F12: Represents securities directly owned by Mr. Richmond's son. Mr. Richmond may be deemed to beneficially own the securities owned directly by his son.
F13: Represents securities directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed to beneficially own the securities owned directly by his spouse.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 21, 2020 Filed Dec 23, 2020 22:28 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 42,450 | $1.03 | $43,723.50 |
DisclosureSEC source: 0001193805-20-001616 · e620174_4-rmti.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RBI Opportunities Fund II, LLC Disclosed balance after: 1,433,309 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F4 · ownership.nature: Represents securities directly owned by RBI Opportunities II. RBI Manager, as the manager of RBI Opportunities II, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 00:01 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | SaleCommon Stock | 34,662 | $1.19 | $41,372.56 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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 III, LLC Disclosed balance after: 711,408 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F9 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.215. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 02:59 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 100,000 | $1.02 | $102,360.00 |
DisclosureSEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers, Inc. Disclosed balance after: 61,278 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F6 · ownership.nature: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. F7 · ownership.nature: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 02:59 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 100,000 | $1.02 | $102,360.00 |
DisclosureSEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 5 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: RBI Private Investment I, LLC Disclosed balance after: 64,841 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F5 · ownership.nature: Represents securities directly owned by RBI PI. RBI Manager, as the manager of RBI PI, may be deemed to beneficially own the securities owned directly by RBI PI. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PI. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 02:59 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 136,021 | $1.01 | $137,122.77 |
DisclosureSEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RBI Opportunities Fund II, LLC Disclosed balance after: 1,475,759 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F16 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.00 to $1.03. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 14, 15, and 16 to this Form 4. F4 · ownership.nature: Represents securities directly owned by RBI Opportunities II. RBI Manager, as the manager of RBI Opportunities II, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 02:59 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 185,855 | $1.01 | $187,806.48 |
DisclosureSEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RBI Opportunities Fund, LLC Disclosed balance after: 3,465,803 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F15 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.00 to $1.04. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 14, 15, and 16 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI Opportunities. RBI Manager, as the manager of RBI Opportunities, may be deemed to beneficially own the securities owned directly by RBI Opportunities. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 00:01 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | SaleCommon Stock | 18,471 | $1.20 | $22,111.63 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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 III, LLC Disclosed balance after: 746,070 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F8 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.21. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| December 15, 2020 Filed Dec 18, 2020 02:59 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 43,979 | $1.10 | $48,376.90 |
DisclosureSEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RBI Opportunities Fund II, LLC Disclosed balance after: 1,611,780 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F4 · ownership.nature: Represents securities directly owned by RBI Opportunities II. RBI Manager, as the manager of RBI Opportunities II, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities II. Read SEC document |
| December 15, 2020 Filed Dec 18, 2020 02:59 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 234,145 | $1.11 | $259,128.27 |
DisclosureSEC source: 0001193805-20-001565 · e620147_4-rmti.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RBI Opportunities Fund, LLC Disclosed balance after: 3,651,658 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F14 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.10 to $1.145. The ReportingPersons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, fullinformation regarding the number of shares sold at each separate price within the ranges set forth in footnotes 14, 15, and 16 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI Opportunities. RBI Manager, as the manager of RBI Opportunities, may be deemed to beneficially own the securities owned directly by RBI Opportunities. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI Opportunities. Read SEC document |
| December 14, 2020 Filed Dec 17, 2020 00:01 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | SaleCommon Stock | 34,129 | $1.20 | $40,893.37 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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 III, LLC Disclosed balance after: 764,541 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F7 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.22. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| December 11, 2020 Filed Dec 17, 2020 00:01 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | SaleCommon Stock | 1,330 | $1.26 | $1,670.48 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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 III, LLC Disclosed balance after: 798,670 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F6 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.26. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 19:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 7,526 | $1.92 | $14,449.92 |
DisclosureSEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 7 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 103,781 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 19:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 9,946 | $1.92 | $19,096.32 |
DisclosureSEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 96,255 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F10 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 19:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 650 | $1.94 | $1,261.00 |
DisclosureSEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 5 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Daughter of David S. Richmond Disclosed balance after: 797 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F12 · ownership.nature: Represents securities directly owned by Mr. Richmond's daughter. Mr. Richmond may be deemed to beneficially own the securities owned directly by his daughter. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 19:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 9 | $1.95 | $17.55 |
DisclosureSEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Spouse of David S. Richmond Disclosed balance after: 29,787 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F11 · ownership.nature: Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 19:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 1,682 | $1.94 | $3,263.08 |
DisclosureSEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Spouse of David S. Richmond Disclosed balance after: 29,778 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F11 · ownership.nature: Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 19:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 3,156 | $1.95 | $6,154.20 |
DisclosureSEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,907 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 19:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 1,712 | $1.94 | $3,321.28 |
DisclosureSEC source: 0000921895-20-001906 · form411265002b_07022020.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,751 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 30 | $0.73 | $21.90 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 8 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 9,155 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 8,600 | $0.73 | $6,278.00 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 7 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 9,125 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 5,680 | $0.76 | $4,316.80 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 83,235 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F4 · 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. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 100 | $0.73 | $73.32 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 5 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 77,555 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F4 · 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. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 100 | $0.73 | $73.16 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 77,455 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F4 · 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. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 66 | $0.75 | $49.50 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 77,355 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F4 · 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. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 4,504 | $0.76 | $3,423.04 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 77,289 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities held in the Separately Managed Accounts for purposes of Section 16. F4 · 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. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC | AIR INDUSTRIES GROUP AIRI · Entity 7887 | PurchaseCommon Stock | 1,800 | $0.75 | $1,349.82 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · 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 Footnotes 1 and 2 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: 72,785 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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 securities of the Issuer 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 securities 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. F4 · 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. Read SEC document |
| August 02, 2019 Filed Aug 2, 2019 21:13 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 97 | $2.42 | $234.74 |
DisclosureSEC source: 0000921895-19-002094 · form411265002_08022019.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: Matthew J. Curfman Disclosed balance after: 52,837 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. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 21:13 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 1,807 | $2.66 | $4,806.44 |
DisclosureSEC source: 0000921895-19-002094 · form411265002_08022019.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: Matthew J. Curfman Disclosed balance after: 52,740 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. Read SEC document |
| July 29, 2019 Filed Jul 2, 2020 19:34 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 179 | $3.12 | $558.48 |
DisclosureSEC source: 0000921895-20-001905 · form411265002a_07022020.xml · nonDerivative · entry 1 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Richmond David S. · CIK 0001698614 · 10% owner · 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: Direct Disclosed balance after: 161,278 F1 · security: This Form 4 is filed jointly by 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 · ownership.direct: 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.direct: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 29 | $3.06 | $88.70 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,273 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 37 | $3.06 | $113.16 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.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: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,244 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 100 | $3.06 | $305.85 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.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: 77,207 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 62 | $3.06 | $189.63 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.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: 77,107 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 91 | $3.06 | $278.32 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.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: 77,045 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 24, 2019 Filed Jul 26, 2019 22:03 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 2,579 | $3.13 | $8,072.27 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.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: Matthew J. Curfman Disclosed balance after: 50,933 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. Read SEC document |
| July 22, 2019 Filed Jul 23, 2019 22:26 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 92,707 | $2.99 | $277,193.93 |
DisclosureSEC source: 0000921895-19-002035 · form411265002_07232019.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, Inc. Disclosed balance after: 161,457 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 · ownership.nature: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Read SEC document |
| July 19, 2019 Filed Jul 23, 2019 22:26 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 68,750 | $2.89 | $198,687.50 |
DisclosureSEC source: 0000921895-19-002035 · form411265002_07232019.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, Inc. Disclosed balance after: 68,750 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 · ownership.nature: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 654 | $3.05 | $1,991.95 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 76,954 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. F8 · 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. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 601 | $3.05 | $1,830.53 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.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: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 76,300 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. F8 · 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. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 902 | $3.05 | $2,747.31 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.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: 75,699 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. F8 · 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. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 1,501 | $3.05 | $4,571.75 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.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: 74,797 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. 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 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest. F8 · 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. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 5,519 | $3.05 | $16,809.77 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.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: Matthew J. Curfman Disclosed balance after: 48,354 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. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 603 | $3.05 | $1,836.62 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,039 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. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 353 | $5.65 | $1,992.79 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 7 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 66,736 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. F8 · 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. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 328 | $5.65 | $1,851.66 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 66,383 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. F8 · 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. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 499 | $5.65 | $2,817.00 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.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: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 66,055 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. F8 · 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. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 835 | $5.65 | $4,713.83 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.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: 65,556 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 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest. F8 · 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. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 2,051 | $5.65 | $11,578.51 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Spouse of Matthew J. Curfman Disclosed balance after: 38,300 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. F13 · 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. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 71 | $5.65 | $400.82 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.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: Matthew J. Curfman Disclosed balance after: 42,835 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. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 506 | $5.65 | $2,856.52 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,436 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.