SEC Form 4 · accession 0001174567-17-000015
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 13, 2017
Accepted (ET)
Nov 14, 2017 · 2:48 pm EST
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 | Nov 13, 2017 | P | 1,000 | $0.6101 | A | 13,221,285 | D | |
| Common StockF2 | holding | — | — | — | 4,270,000 | I | Voting or Investment Control |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into on September 29, 2017.
- F2Mr. Shaw has investment power over 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.