SEC Form 4 · accession 0001174567-19-000004
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
Jan 11, 2019
Accepted (ET)
Jan 15, 2019 · 11:09 am 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 | Jan 11, 2019 | P | 373 | $0.685 | A | 13,893,147 | D | |
| Common StockF1,F2 | Jan 14, 2019 | P | 239 | $0.691 | A | 13,893,386 | 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 October 29, 2018.
- 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.