Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
September 06 2023 - 4:49PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D
(Rule
13d-101)
INFORMATION
TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO
§ 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
§
240.13d-2(a)
(Amendment
No. 17)1
Rockwell
Medical, Inc.
(Name
of Issuer)
Common
Stock, par value 0.0001 per share
(Title
of Class of Securities)
774374102
(CUSIP
Number)
DAVID
S. RICHMONd
richmond
brothers, Inc.
3568
Wildwood Avenue
Jackson,
Michigan 49202
(517)
435-4040
GUY
P. LANDER
CARTER
LEDYARD & MILBURN LLP
28 LIBERTY STREET, NEW YORK, NY 10005
212-732-3200
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications)
July 11, 2023
(Date
of Event Which Requires Filing of This Statement)
If
the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D,
and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ☐.
Note:
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §
240.13d-7 for other parties to whom copies are to be sent.
| 1 | The
remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover
page. |
The
information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18
of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
Richmond
Brothers, Inc. |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
OO |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
MICHIGAN |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
17,100 |
| |
8 |
|
SHARED
VOTING POWER
-
0 - |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
17,100 |
| |
10 |
|
SHARED
DISPOSITIVE POWER
38,410 |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
55,510 |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
IA,
CO |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
RBI
Private Investment I, LLC |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
WC |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
DELAWARE |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
5,894 |
| |
8 |
|
SHARED
VOTING POWER
-
0 - |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
5,894 |
| |
10 |
|
SHARED
DISPOSITIVE POWER
-
0 - |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,894 |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less
than 1% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
OO |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
RBI
Private Investment II, LLC |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
WC |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
DELAWARE |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
3,498 |
| |
8 |
|
SHARED
VOTING POWER
-
0 - |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
3,498 |
| |
10 |
|
SHARED
DISPOSITIVE POWER
-
0 - |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,498 |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less
than 1% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
OO |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
The
RBI Opportunities Fund, LLC |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
WC |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
DELAWARE |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
- 0 - |
| |
8 |
|
SHARED
VOTING POWER
-
0 - |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
- 0 - |
| |
10 |
|
SHARED
DISPOSITIVE POWER
-
0 - |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 - |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
OO |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
The
RBI Opportunities Fund II, LLC |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
WC |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
DELAWARE |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
- 0 - |
| |
8 |
|
SHARED
VOTING POWER
-
0 - |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
- 0 - |
| |
10 |
|
SHARED
DISPOSITIVE POWER
-
0 - |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 - |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
OO |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
RBI
PI Manager, LLC |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
AF |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
DELAWARE |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
9,392 |
| |
8 |
|
SHARED
VOTING POWER
-
0 - |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
9,392 |
| |
10 |
|
SHARED
DISPOSITIVE POWER
-
0 - |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,392 |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
OO |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
Richmond
Brothers 401(k) Profit Sharing Plan |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
WC |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
MICHIGAN |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
10,558 |
| |
8 |
|
SHARED
VOTING POWER
-
0 - |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
10,558 |
| |
10 |
|
SHARED
DISPOSITIVE POWER
-
0 - |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,558 |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less
than 1% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
EP |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
David
S. Richmond |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
OO,
PF |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
USA |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
13,544 |
| |
8 |
|
SHARED
VOTING POWER
28,332 |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
13,544 |
| |
10 |
|
SHARED
DISPOSITIVE POWER
70,894 |
| 11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
84,438 |
|
| 12 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% |
|
| 14 |
|
TYPE OF REPORTING PERSON
IN |
|
CUSIP
No. 774374102
| 1 |
|
NAME
OF REPORTING PERSON
Matthew
J. Curfman |
|
| 2 |
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
(b) ☐ |
| 3 |
|
SEC
USE ONLY
|
|
| 4 |
|
SOURCE
OF FUNDS
OO,
PF |
|
| 5 |
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
☐ |
| 6 |
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
USA |
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
|
7 |
|
SOLE
VOTING POWER
-
0 - |
| |
8 |
|
SHARED
VOTING POWER
27,668 |
| |
9 |
|
SOLE
DISPOSITIVE VOTING POWER
-
0 - |
| |
10 |
|
SHARED
DISPOSITIVE POWER
66,068 |
| 11 |
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
66,068 |
|
| 12 |
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
| 13 |
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less
than 1% |
|
| 14 |
|
TYPE
OF REPORTING PERSON
IN |
|
CUSIP
No. 774374102
The following constitutes Amendment
No. 17 to the Schedule 13D filed by the undersigned (“Amendment No. 17”). This Amendment No. 17 amends the Schedule 13D Item
5. As set forth below, as a result of the Issuer issuing approximately 14,000,000 Shares, each of the Reporting Persons ceased to be the
beneficial owner of more than five percent of the Shares on July 11, 2023. The filing of this Amendment No. 17 represents the final amendment
to the Schedule 13D and constitutes an exit filing for the Reporting Persons.
| Item 1. |
Security and Issuer. |
No material change.
| Item 2. |
Identity and Background. |
No material change.
| Item 3. |
Source and Amount of Funds or Other Consideration. |
Not applicable.
| Item 4. |
Purpose of Transaction. |
No
material change.
| Item 5. |
Interest in Securities of the Issuer. |
Item 5 to Schedule 13D is hereby
amended and restated, in pertinent part, as follows:
The aggregate percentage of
Shares reported owned by each person named herein is based upon 28,489,663 Shares outstanding as of July 11, 2023, which is the total
number of Shares outstanding based on information contained in the Issuer’s Form 8-K as filed with the Securities and Exchange Commission
on July 11, 2023. The Reporting Persons beneficially own those Shares as follows
| |
(a) |
As of the date hereof, Richmond Brothers directly beneficially owned 17,100 Shares, and an additional 38,410 Shares were held in the Separately Managed Accounts. As the investment advisor to the Separately Managed Accounts, Richmond Brothers may also be deemed the beneficial owner of the 55,510 Shares held in the Separately Managed Accounts. |
Percentage: Less than 1%
| |
(b) |
1. Sole power to vote or direct vote: 17,100
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 17,100
4. Shared power to dispose or direct the disposition: 38,410 |
| |
(a) |
As of the date hereof, RBI PI beneficially owned 5,894 Shares. |
Percentage: Less than 1%
| |
(b) |
1. Sole power to vote or direct vote: 5,894
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 5,894
4. Shared power to dispose or direct the disposition: 0 |
CUSIP
No. 774374102
| |
(a) |
As
of the date hereof, RBI PII beneficially owned 3,498 Shares. |
Percentage:
Less than 1%
| |
(b) |
1.
Sole power to vote or direct vote: 3,498
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 3,498
4. Shared power to dispose or direct the disposition: 0 |
| |
(a) |
As of the date hereof, RBI Opportunities beneficially owned 0 Shares. |
Percentage: 0%
| |
(b) |
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 0 |
| |
(a) |
As of the date hereof, RBI Opportunities II beneficially owned 0 Shares. |
Percentage: 0%
| |
(b) |
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 0 |
CUSIP
No. 774374102
| |
(a) |
As the manager of RBI PI, RBI PII, RBI Opportunities and RBI Opportunities II, RBI Manager may be deemed the beneficial owner of the (i) 5,894 Shares owned by RBI PI, (ii) 3,498 Shares owned by RBI PII, (iii) 0 Shares beneficially owned by RBI Opportunities and (iv) 0 Shares beneficially owned by RBI Opportunities II. |
Percentage: Less than 1%
| |
(b) |
1. Sole power to vote or direct vote: 9,392
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 9,392
4. Shared power to dispose or direct the disposition: 0 |
| |
(a) |
As of the date hereof, the RBI Plan beneficially owned 10,558 Shares. |
Percentage: Less than 1%
| |
(b) |
1. Sole power to vote or direct vote: 10,558
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 10,558
4. Shared power to dispose or direct the disposition: 0 |
| |
(a) |
As of the date hereof, Mr. Richmond beneficially owned 84,438 Shares, including 674 Shares directly owned by his spouse. As the Chairman of Richmond Brothers, manager of RBI Manager and a trustee of the RBI Plan, Mr. Richmond may also be deemed the beneficial owner of the (i) 17,100 Shares owned directly by Richmond Brothers, (ii) 38,410 Shares held in the Separately Managed Accounts, (iii) 5,894 Shares owned by RBI PI, (iv) 3,498 Shares owned by RBI PII, (v) 0 Shares beneficially owned by RBI Opportunities, (vi) 0 Shares beneficially owned by RBI Opportunities II and (vii) 10,558 Shares owned by the RBI Plan. |
Percentage: Less than 1%
| |
(b) |
1. Sole power to vote or direct vote: 13,544
2. Shared power to vote or direct vote: 28,332
3. Sole power to dispose or direct the disposition: 13,544
4. Shared power to dispose or direct the disposition: 70,894 |
CUSIP
No. 774374102
| |
(a) |
As of the date hereof, Mr. Curfman beneficially owned 66,068 Shares. As the President of Richmond Brothers and a trustee of the RBI Plan, Mr. Curfman may also be deemed the beneficial owner of the (i) 17,100 Shares owned directly by Richmond Brothers, (ii) 38,410 Shares held in the Separately Managed Accounts and (iii) 10,558 Shares owned by the RBI Plan. |
Percentage: Less than 1%
| |
(b) |
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 27,668
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 66,068 |
The
filing of this Schedule 13D 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 Shares he or it does not directly own. Each of the Reporting Persons specifically
disclaims beneficial ownership of the Shares reported herein that he or it does not directly own.
| |
(c) |
The
transactions in the securities of the Issuer by the Reporting Persons during the past sixty days are set forth in Schedule A and
are incorporated herein by reference. Such transactions were effected in the open market. |
| |
(e) |
Each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the Shares on July 11, 2023. |
| Item 6. |
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
Not applicable.
| Item 7. |
Material to be Filed as Exhibits. |
No material change.
CUSIP
No. 774374102
SIGNATURES
After
reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement
is true, complete and correct.
Dated: September 6, 2023
| |
Richmond Brothers, Inc. |
| |
|
|
| |
By: |
/s/ David S. Richmond |
| |
|
Name: |
David S. Richmond |
| |
|
Title: |
Chairman |
| |
RBI Private Investment I, LLC |
| |
|
| |
By: |
RBI PI Manager, LLC |
| |
|
Manager |
| |
|
|
| |
By: |
/s/ David S. Richmond |
| |
|
Name: |
David S. Richmond |
| |
|
Title: |
Manager |
| |
RBI Private Investment II, LLC |
| |
|
| |
By: |
RBI PI Manager, LLC |
| |
|
Manager |
| |
|
|
| |
By: |
/s/ David S. Richmond |
| |
|
Name: |
David S. Richmond |
| |
|
Title: |
Manager |
| |
The RBI Opportunities Fund, LLC |
| |
|
| |
By: |
RBI PI Manager, LLC |
| |
|
Manager |
| |
|
|
| |
By: |
/s/ David S. Richmond |
| |
|
Name: |
David S. Richmond |
| |
|
Title: |
Manager |
CUSIP
No. 774374102
| |
The RBI Opportunities Fund II, LLC |
| |
|
| |
By: |
RBI PI Manager, LLC |
| |
|
Manager |
| |
|
|
| |
By: |
/s/ David S. Richmond |
| |
|
Name: |
David S. Richmond |
| |
|
Title: |
Manager |
| |
By: |
RBI PI Manager, LLC |
| |
|
|
| |
By: |
/s/ David S. Richmond |
| |
|
Name: |
David S. Richmond |
| |
|
Title: |
Manager |
| |
By: |
Richmond Brothers 401(k) Profit Sharing Plan |
| |
|
|
| |
By: |
/s/ David S. Richmond |
| |
|
Name: |
David S. Richmond |
| |
|
Title: |
Trustee |
| |
/s/ David S. Richmond |
| |
David S. Richmond |
| |
|
| |
/s/ Matthew J. Curfman |
| |
Matthew J. Curfman |
CUSIP
No. 774374102
SCHEDULE
A
Transactions
in the Securities of the Issuer During the past sixty days
Richmond Brothers, Inc.
(Through the Separately Managed Accounts)
| Action | |
Price ($) | | |
Quantity | | |
Net Amnt | | |
Trade Date |
| Sell | |
| 2.39000 | | |
| -84.00000 | | |
| 200.76 | | |
08/29/2023 |
| Sell | |
| 2.36230 | | |
| -271.50000 | | |
| 636.40 | | |
08/28/2023 |
| Sell | |
| 2.41130 | | |
| -275.00000 | | |
| 663.10 | | |
08/23/2023 |
| Sell | |
| 2.26970 | | |
| -143.00000 | | |
| 319.62 | | |
08/22/2023 |
| Sell | |
| 2.26040 | | |
| -271.50000 | | |
| 608.74 | | |
08/21/2023 |
| Sell | |
| 2.25000 | | |
| -302.00000 | | |
| 679.49 | | |
08/18/2023 |
| Sell | |
| 2.21000 | | |
| -242.00000 | | |
| 534.81 | | |
08/17/2023 |
| Sell | |
| 2.20810 | | |
| -104.00000 | | |
| 229.64 | | |
08/17/2023 |
| Sell | |
| 2.20370 | | |
| -146.00000 | | |
| 321.74 | | |
08/17/2023 |
| Sell | |
| 2.81010 | | |
| -155.00000 | | |
| 430.62 | | |
08/09/2023 |
| Sell | |
| 3.11430 | | |
| -59.00000 | | |
| 183.74 | | |
08/08/2023 |
| Sell | |
| 3.11500 | | |
| -23.00000 | | |
| 71.65 | | |
08/08/2023 |
| Sell | |
| 3.11140 | | |
| -14.00000 | | |
| 43.56 | | |
08/08/2023 |
| Sell | |
| 3.01840 | | |
| -79.00000 | | |
| 238.45 | | |
08/07/2023 |
| Sell | |
| 3.01500 | | |
| -198.00000 | | |
| 596.97 | | |
08/07/2023 |
| Sell | |
| 3.05690 | | |
| -151.00000 | | |
| 461.59 | | |
08/07/2023 |
| Sell | |
| 3.32000 | | |
| -108.00000 | | |
| 353.61 | | |
08/03/2023 |
| Sell | |
| 3.40000 | | |
| -453.00000 | | |
| 1,540.18 | | |
08/03/2023 |
| Sell | |
| 3.32170 | | |
| -116.00000 | | |
| 380.37 | | |
08/03/2023 |
| Sell | |
| 3.62230 | | |
| -27.00000 | | |
| 97.80 | | |
07/26/2023 |
| Sell | |
| 3.49050 | | |
| -467.00000 | | |
| 1,630.04 | | |
07/25/2023 |
| Sell | |
| 3.63170 | | |
| -2.00000 | | |
| 7.26 | | |
07/24/2023 |
| Sell | |
| 4.03610 | | |
| -433.00000 | | |
| 1,747.61 | | |
07/17/2023 |
| Sell | |
| 5.85500 | | |
| -404.00000 | | |
| 2,365.40 | | |
07/10/2023 |
| Sell | |
| 5.87030 | | |
| -239.00000 | | |
| 1,402.98 | | |
07/10/2023 |
| Sell | |
| 5.88010 | | |
| -338.00000 | | |
| 1,987.45 | | |
07/10/2023 |
| Sell | |
| 5.81000 | | |
| -82.00000 | | |
| 476.42 | | |
07/10/2023 |
| Sell | |
| 5.73000 | | |
| -6.00000 | | |
| 34.38 | | |
07/10/2023 |
| Sell | |
| 5.77800 | | |
| -380.00000 | | |
| 2,195.62 | | |
07/10/2023 |
| Sell | |
| 5.87000 | | |
| -272.00000 | | |
| 1,596.62 | | |
07/10/2023 |
| Sell | |
| 5.68000 | | |
| -310.00000 | | |
| 1,755.83 | | |
07/07/2023 |
| Sell | |
| 5.29270 | | |
| -201.00000 | | |
| 1,063.82 | | |
07/06/2023 |
| Sell | |
| 5.32230 | | |
| -27.00000 | | |
| 143.70 | | |
07/06/2023 |
Richmond
Brothers 401(K) profit sharing plaN
| Action | |
Price ($) | | |
Quantity | | |
Net Amnt | | |
Trade Date |
| Buy | |
| 2.46000 | | |
| 73.00000 | | |
| -179.58 | | |
08/23/2023 |
17
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