SEC Form 4 · accession 0001174567-18-000081
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
Sep 10, 2018
Accepted (ET)
Sep 11, 2018 · 5:11 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 | Sep 10, 2018 | P | 11,700 | $0.6718 | A | 13,674,024 | D | |
| Common StockF1,F2 | Sep 11, 2018 | P | 1,590 | $0.6748 | A | 13,675,614 | 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 September 29, 2017.
- F2Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.
- F3Mr. 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.