SEC Form 4 · accession 0001104659-18-070670
ROCKWELL MEDICAL, INC. · RMTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Angus W. Smith
Officer — Chief Financial Officer
Period of report
Nov 28, 2018
Accepted (ET)
Nov 29, 2018 · 6:02 pm EST
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 | Nov 28, 2018 | A | 166,667 | $0.00 | A | 166,667 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $3.52 | Nov 28, 2018 | A | 333,333 | A | — | Nov 28, 2028 | Common Stock | 333,333 | 333,333 | D |
Explanation of responses
- F1Restricted stock units vest with respect to 83,334 shares in three equal installments on the first, second and third anniversaries of November 28, 2018, with the remainder vesting upon achievement of specified milestone events.
- F2Stock options vest in three equal installments on the first, second and third anniversaries of November 28, 2018.