0000921895-17-002244.txt : 20170828 0000921895-17-002244.hdr.sgml : 20170828 20170828172022 ACCESSION NUMBER: 0000921895-17-002244 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170810 FILED AS OF DATE: 20170828 DATE AS OF CHANGE: 20170828 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Curfman Matthew J. CENTRAL INDEX KEY: 0001698617 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 171055422 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond David S. CENTRAL INDEX KEY: 0001698614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 171055428 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI Private Investment I, LLC CENTRAL INDEX KEY: 0001698720 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 171055427 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517) 435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI PI Manager, LLC CENTRAL INDEX KEY: 0001698718 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 171055425 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517)435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBI Private Investment II, LLC CENTRAL INDEX KEY: 0001697890 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 171055426 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517) 435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond Brothers 401(k) Profit Sharing Plan CENTRAL INDEX KEY: 0001698822 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 171055424 BUSINESS ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 BUSINESS PHONE: (517) 435-4040 MAIL ADDRESS: STREET 1: 3568 WILDWOOD AVENUE CITY: JACKSON STATE: MI ZIP: 49202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond Brothers, Inc. CENTRAL INDEX KEY: 0001540462 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23661 FILM NUMBER: 171055423 BUSINESS ADDRESS: STREET 1: 7415 FOXWORTH COURT CITY: JACKSON STATE: MI ZIP: 49201 BUSINESS PHONE: 517-536-5000 MAIL ADDRESS: STREET 1: 7415 FOXWORTH COURT CITY: JACKSON STATE: MI ZIP: 49201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWELL MEDICAL, INC. CENTRAL INDEX KEY: 0001041024 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 383317208 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 30142 S WIXOM RD CITY: WIXOM STATE: MI ZIP: 48393 BUSINESS PHONE: 2489609009 MAIL ADDRESS: STREET 1: 30142 S WIXOM RD CITY: WIXOM STATE: MI ZIP: 48393 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL MEDICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 20120530 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL MEDICAL, INC. DATE OF NAME CHANGE: 20120525 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL MEDICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19970722 4 1 form411265002_08282017.xml OWNERSHIP DOCUMENT X0306 4 2017-08-10 0 0001041024 ROCKWELL MEDICAL, INC. RMTI 0001698614 Richmond David S. 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 1 1 See Footnote 1 0001698720 RBI Private Investment I, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnote 1 0001697890 RBI Private Investment II, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnote 1 0001698718 RBI PI Manager, LLC 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnote 1 0001698822 Richmond Brothers 401(k) Profit Sharing Plan 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 0 1 See Footnote 1 0001540462 Richmond Brothers, Inc. 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 1 1 See Footnote 1 0001698617 Curfman Matthew J. 3568 WILDWOOD AVENUE JACKSON MI 49202 0 0 1 1 See Footnote 1 Common Stock 2017-08-10 4 P 0 133 6.3408 A 41628 I By: Richmond Brothers 401(k) Profit Sharing Plan Common Stock 2017-08-10 4 P 0 155 6.3408 A 41783 I By: Richmond Brothers 401(k) Profit Sharing Plan Common Stock 2017-08-10 4 P 0 85 6.3408 A 41868 I By: Richmond Brothers 401(k) Profit Sharing Plan Common Stock 2017-08-10 4 P 0 106 6.3408 A 41974 I By: Richmond Brothers 401(k) Profit Sharing Plan Common Stock 2017-08-10 4 P 0 126 6.3408 A 42100 I By: Richmond Brothers 401(k) Profit Sharing Plan Common Stock 29802 I By: RBI Private Investment II, LLC Common Stock 164841 I By: RBI Private Investment I, LLC Common Stock 176412 D Common Stock 28096 I By: Spouse of David S. Richmond Common Stock 147 I By: Daughter of David S. Richmond Common Stock 7 I By: Son of David S. Richmond Common Stock 40684 I By: Matthew J. Curfman Common Stock 34385 I By: Spouse of Matthew J. Curfman This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), 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. Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. Represents securities directly owned by RBI PI. RBI Manager, as the manager of RBI PI, may be deemed to beneficially own the securities owned directly by RBI PI. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PI. Represents securities directly owned by RBI PII. RBI Manager, as the manager of RBI PII, may be deemed to beneficially own the securities owned directly by RBI PII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PII. Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Represents securities directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed to beneficially own the securities owned directly by his spouse. Represents securities directly owned by Mr. Richmond's daughter. Mr. Richmond may be deemed to beneficially own the securities owned directly by his daughter. Represents securities directly owned by Mr. Richmond's son. Mr. Richmond may be deemed to beneficially own the securities owned directly by his son. Represents securities directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed to beneficially own the securities owned directly by his spouse. By: /s/ David S. Richmond 2017-08-28 By: RBI Private Investment I, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2017-08-28 By: RBI Private Investment II, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2017-08-28 By: RBI PI Manager, LLC; By: /s/ David S. Richmond, Manager 2017-08-28 By: Richmond Brothers 401(k) Profit Sharing Plan; By: /s/ David S. Richmond, Trustee 2017-08-28 By: Richmond Brothers, Inc.; By: /s/ David S. Richmond, Chairman 2017-08-28 By: /s/ Matthew J. Curfman 2017-08-28