SEC Form 4 · accession 0001174567-17-000009
RETRACTABLE TECHNOLOGIES INC · RVP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Shaw
Officer — President and CEO · Director · 10% Owner
Period of report
Nov 1, 2017
Accepted (ET)
Nov 2, 2017 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946563
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 1, 2017 | P | 2,426 | $0.6643 | A | 13,183,155 | D | |
| Common StockF1,F2 | Nov 2, 2017 | P | 3,509 | $0.6443 | A | 13,186,664 | D | |
| Common StockF3 | holding | — | — | — | 4,270,000 | I | Voting or Investment Control |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into on September 29, 2017.
- F2Represents the weighted average price. Mr. Shaw will provide to the SEC, the Issuer or any security holder of the Issuer full information regarding the number of shares purchased at each price upon written request.
- F3Mr. Shaw has investment power of 1,500,000 shares as Trustee for the benefit of family members. Mr. Shaw has voting control over the remainder of the shares pursuant to a voting agreement.