0000921895-17-002917.txt : 20171219
0000921895-17-002917.hdr.sgml : 20171219
20171219183239
ACCESSION NUMBER: 0000921895-17-002917
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171215
FILED AS OF DATE: 20171219
DATE AS OF CHANGE: 20171219
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: 171265256
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: 171265262
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: 171265261
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: 171265259
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: 171265260
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: 171265258
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: 171265257
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_12192017.xml
OWNERSHIP DOCUMENT
X0306
4
2017-12-15
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
2017-12-15
4
S
0
36
6.5319
D
176376
D
Common Stock
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
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, but have no pecuniary interest therein.
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
2017-12-19
By: RBI Private Investment I, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager
2017-12-19
By: RBI Private Investment II, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager
2017-12-19
By: RBI PI Manager, LLC; By: /s/ David S. Richmond, Manager
2017-12-19
By: Richmond Brothers 401(k) Profit Sharing Plan; By: /s/ David S. Richmond, Trustee
2017-12-19
By: Richmond Brothers, Inc.; By: /s/ David S. Richmond, Chairman
2017-12-19
By: /s/ Matthew J. Curfman
2017-12-19