SEC Form 4 · accession 0000921895-17-001617
ROCKWELL MEDICAL, INC. · RMTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mark H Ravich
Other
Period of report
May 19, 2017
Accepted (ET)
May 23, 2017 · 5:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001041024
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 19, 2017 | X | 30,000 | $6.00 | A | 314,750 | D | |
| Common StockF1,F5 | May 19, 2017 | X | 10,000 | $6.00 | A | 10,000 | I | By: Norman and Sally Ravich Family Trust |
| Common StockF1,F2 | holding | — | — | — | 44,400 | I | By: Norman J. Ravich Irrevocable Trust | |
| Common StockF1,F3 | holding | — | — | — | 25,000 | I | By: Alexander Coleman Ravich 1991 Irrevocable Trust | |
| Common StockF1,F4 | holding | — | — | — | 25,000 | I | By: Alyssa Danielle Ravich 1991 Irrevocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call Option (right to buy)F6,F1 | $6.00 | May 19, 2017 | X | 300 | D | — | May 19, 2017 | Common Stock | 30,000 | 0 | D |
| Call Option (right to buy)F5,F6,F1 | $6.00 | May 19, 2017 | X | 100 | D | — | May 19, 2017 | Common Stock | 10,000 | 0 | I |
Explanation of responses
- F1This Form 4 is filed jointly by Norman J. Ravich Irrevocable Trust ("NJR Trust"), Norman and Sally Ravich Family Trust ("NSR Trust"), Alexander Coleman Ravich 1991 Irrevocable Trust ("ACR Trust"), Alyssa Danielle Ravich 1991 Irrevocable Trust ("ADR Trust") and Mark H. Ravich (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.
- F2Represents securities owned directly by NJR Trust. Mr. Ravich, as the trustee of NJR Trust, may be deemed to beneficially own the securities owned directly by NJR Trust.
- F3Represents securities owned directly by ACR Trust. Mr. Ravich, as the trustee of ACR Trust, may be deemed to beneficially own the securities owned directly by ACR Trust.
- F4Represents securities owned directly by ADR Trust. Mr. Ravich, as the trustee of ADR Trust, may be deemed to beneficially own the securities owned directly by ADR Trust.
- F5Represents securities owned directly by NSR Trust. Mr. Ravich, as the trustee of NSR Trust, may be deemed to beneficially own the securities owned directly by NSR Trust.
- F6The Call Options reported herein were exercisable beginning on the date of their purchase.