1. Name
and Address of Reporting Person *
Richmond David S. |
2. Issuer Name and Ticker or Trading
Symbol ROCKWELL MEDICAL, INC. [ RMTI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) __X__
Other (specify below)
See Footnotes 1 and 2 |
(Last)
(First)
(Middle)
3568 WILDWOOD AVENUE |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/30/2020
|
(Street)
JACKSON, MI 49202
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) ___
Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting
Person |
Explanation of
Responses: |
(1) |
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. |
(2) |
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. |
(3) |
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. |
(4) |
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. |
(5) |
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. |
(6) |
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. |
(7) |
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. |
(8) |
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. |
(9) |
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. |
(10) |
Not reported herein are
transactions by RBI Plan in which no Reporting Person (including
Messrs. Richmond and Curfman) has a pecuniary interest. |
(11) |
Represents securities
directly owned by Mr. Richmond's spouse. Mr. Richmond may be deemed
to beneficially own the securities owned directly by his
spouse. |
(12) |
Represents securities
directly owned by Mr. Richmond's daughter. Mr. Richmond may be
deemed to beneficially own the securities owned directly by his
daughter. |
(13) |
Represents securities
directly owned by Mr. Richmond's son. Mr. Richmond may be deemed to
beneficially own the securities owned directly by his
son. |
(14) |
Represents securities
directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed
to beneficially own the securities owned directly by his
spouse. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Richmond David S.
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
X |
|
See Footnotes 1 and 2 |
RBI Private Investment I, LLC
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
|
|
See Footnotes 1 and 2 |
RBI Private Investment II, LLC
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
|
|
See Footnotes 1 and 2 |
RBI OPPORTUNITIES FUND, LLC
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
|
|
See Footnotes 1 and 2 |
RBI PI Manager, LLC
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
X |
|
See Footnotes 1 and 2 |
Richmond Brothers 401(k) Profit Sharing Plan
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
|
|
See Footnotes 1 and 2 |
Richmond Brothers, Inc.
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
|
|
See Footnotes 1, 2 and 3 |
Curfman Matthew J.
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
|
|
See Footnotes 1 and 2 |
RBI OPPORTUNITIES FUND II, LLC
3568 WILDWOOD AVENUE
JACKSON, MI 49202 |
|
|
|
See Footnotes 1 and 2 |
Signatures
|
By: /s/ David S. Richmond |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: RBI Private Investment I, LLC; By: RBI PI
Manager, LLC, Manager; By: /s/ David S. Richmond,
Manager |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: RBI Private Investment II, LLC; By: RBI PI
Manager, LLC, Manager; By: /s/ David S. Richmond,
Manager |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: The RBI Opportunities Fund, LLC; By: RBI PI
Manager, LLC, Manager; By: /s/ David S. Richmond,
Manager |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: RBI PI Manager, LLC; By: /s/ David S.
Richmond, Manager |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: Richmond Brothers 401(k) Profit Sharing Plan;
By: /s/ David S. Richmond, Trustee |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: Richmond Brothers, Inc.; By: /s/ David S.
Richmond, Chairman |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: /s/ Matthew J. Curfman |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |
By: The RBI Opportunities Fund II, LLC; By: RBI
PI Manager, LLC, Manager; By: /s/ David S. Richmond,
Manager |
|
7/2/2020 |
**Signature of
Reporting Person |
Date |