Sec Form 13D Filing - Richmond Brothers Inc. filing for ROCKWELL MEDICAL INC. (RMTI) - 2023-09-06

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

(Rule 13d-101)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

§ 240.13d-2(a)

 

(Amendment No. 17)1

 

Rockwell Medical, Inc.

(Name of Issuer)

 

Common Stock, par value 0.0001 per share

(Title of Class of Securities)

 

774374102

(CUSIP Number)

 

DAVID S. RICHMONd

richmond brothers, Inc.

3568 Wildwood Avenue

Jackson, Michigan 49202

(517) 435-4040

 

GUY P. LANDER

CARTER LEDYARD & MILBURN LLP

28 LIBERTY STREET, NEW YORK, NY 10005

212-732-3200

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

July 11, 2023

(Date of Event Which Requires Filing of This Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box  ☐.

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.

 

1The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

 

CUSIP No. 774374102

  

1  

NAME OF REPORTING PERSON

 

Richmond Brothers, Inc.

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

OO

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

MICHIGAN

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7  

SOLE VOTING POWER

 

17,100

  8  

SHARED VOTING POWER

 

- 0 -

  9  

SOLE DISPOSITIVE VOTING POWER

 

17,100

  10  

SHARED DISPOSITIVE POWER

 

38,410

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

55,510

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

Less than 1%

 
14  

TYPE OF REPORTING PERSON

 

IA, CO

 

 

2

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

RBI Private Investment I, LLC

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

WC

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

DELAWARE

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7  

SOLE VOTING POWER

 

5,894

  8  

SHARED VOTING POWER

 

- 0 -

  9  

SOLE DISPOSITIVE VOTING POWER

 

5,894

  10  

SHARED DISPOSITIVE POWER

 

- 0 -

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

5,894

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

Less than 1%

 
14  

TYPE OF REPORTING PERSON

 

OO

 

 

3

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

RBI Private Investment II, LLC

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

WC

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

DELAWARE

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7  

SOLE VOTING POWER

 

3,498

  8  

SHARED VOTING POWER

 

- 0 -

  9  

SOLE DISPOSITIVE VOTING POWER

 

3,498

  10  

SHARED DISPOSITIVE POWER

        

- 0 -

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

3,498

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

Less than 1%

 
14  

TYPE OF REPORTING PERSON

 

OO

 

  

4

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

The RBI Opportunities Fund, LLC

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

WC

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

DELAWARE

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7  

SOLE VOTING POWER

 

- 0 -

  8  

SHARED VOTING POWER

 

- 0 -

  9  

SOLE DISPOSITIVE VOTING POWER

 

- 0 -

  10  

SHARED DISPOSITIVE POWER

 

- 0 -

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

- 0 -

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

0%

 
14  

TYPE OF REPORTING PERSON

 

OO

 

 

5

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

The RBI Opportunities Fund II, LLC

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

WC

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

DELAWARE

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7  

SOLE VOTING POWER

 

- 0 -

  8  

SHARED VOTING POWER

 

- 0 -

  9  

SOLE DISPOSITIVE VOTING POWER

 

- 0 -

  10  

SHARED DISPOSITIVE POWER

 

- 0 -

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

- 0 -

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

0%

 
14  

TYPE OF REPORTING PERSON

 

OO

 

 

6

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

RBI PI Manager, LLC

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF F UNDS

 

AF

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

DELAWARE

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7  

SOLE VOTING POWER

 

9,392

  8  

SHARED VOTING POWER

 

- 0 -

  9  

SOLE DISPOSITIVE VOTING POWER

 

9,392

  10  

SHARED DISPOSITIVE POWER

 

- 0 -

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

9,392

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

Less than 1%

 
14  

TYPE OF REPORTING PERSON

 

OO

 

 

7

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

Richmond Brothers 401(k) Profit Sharing Plan

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

WC

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

MICHIGAN

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7  

SOLE VOTING POWER

 

10,558

  8  

SHARED VOTING POWER

 

- 0 -

  9  

SOLE DISPOSITIVE VOTING POWER

 

10,558

  10  

SHARED DISPOSITIVE POWER

        

- 0 -

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

10,558

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

Less than 1%

 
14  

TYPE OF REPORTING PERSON

 

EP

 

 

8

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

David S. Richmond

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

OO, PF

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   

SOLE VOTING POWER

 

13,544

  8  

SHARED VOTING POWER

 

28,332

  9  

SOLE DISPOSITIVE VOTING POWER

 

13,544

  10  

SHARED DISPOSITIVE POWER

 

70,894

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

84,438

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

& #xA0;

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

Less than 1%

 
14  

TYPE OF REPORTING PERSON

 

IN

 

 

9

 

 

CUSIP No. 774374102

 

1  

NAME OF REPORTING PERSON

 

Matthew J. Curfman

 
2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)  ☒

(b)  ☐

3  

SEC USE ONLY

 

 

 
4  

SOURCE OF FUNDS

 

OO, PF

 
5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

 

6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   

SOLE VOTING POWER

 

- 0 -

  8  

SHARED VOTING POWER

 

27,668

  9  

SOLE DISPOSITIVE VOTING POWER

 

- 0 -

  10  

SHARED DISPOSITIVE POWER

        

66,068

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

66,068

 
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

Less than 1%

 
14  

TYPE OF REPORTING PERSON

 

IN

 

  

10

 

 

CUSIP No. 774374102

 

The following constitutes Amendment No. 17 to the Schedule 13D filed by the undersigned (“Amendment No. 17”). This Amendment No. 17 amends the Schedule 13D Item 5. As set forth below, as a result of the Issuer issuing approximately 14,000,000 Shares, each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the Shares on July 11, 2023. The filing of this Amendment No. 17 represents the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Persons.

 

Item 1. Security and Issuer.

 

No material change.

 

Item 2. Identity and Background.

 

No material change.

 

Item 3. Source and Amount of Funds or Other Consideration.

 

Not applicable.

 

Item 4. Purpose of Transaction.

 

No material change.

 

Item 5. Interest in Securities of the Issuer.

 

Item 5 to Schedule 13D is hereby amended and restated, in pertinent part, as follows:

 

The aggregate percentage of Shares reported owned by each person named herein is based upon 28,489,663 Shares outstanding as of July 11, 2023, which is the total number of Shares outstanding based on information contained in the Issuer’s Form 8-K as filed with the Securities and Exchange Commission on July 11, 2023. The Reporting Persons beneficially own those Shares as follows

 

A. Richmond Brothers

 

  (a) As of the date hereof, Richmond Brothers directly beneficially owned 17,100 Shares, and an additional 38,410 Shares were held in the Separately Managed Accounts. As the investment advisor to the Separately Managed Accounts, Richmond Brothers may also be deemed the beneficial owner of the 55,510 Shares held in the Separately Managed Accounts.

Percentage: Less than 1%

 

  (b) 1. Sole power to vote or direct vote: 17,100
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 17,100
4. Shared power to dispose or direct the disposition: 38,410

 

B. RBI PI

 

  (a) As of the date hereof, RBI PI beneficially owned 5,894 Shares.

Percentage: Less than 1%

 

  (b) 1. Sole power to vote or direct vote: 5,894
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 5,894
4. Shared power to dispose or direct the disposition: 0

 

11

 

  

CUSIP No. 774374102

 

C. RBI PII

 

  (a) As of the date hereof, RBI PII beneficially owned 3,498 Shares.

Percentage: Less than 1%

 

  (b) 1. Sole power to vote or direct vote: 3,498
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 3,498
4. Shared power to dispose or direct the disposition: 0

 

D. RBI Opportunities

 

  (a) As of the date hereof, RBI Opportunities beneficially owned 0 Shares.

Percentage: 0%

 

  (b) 1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 0

 

E. RBI Opportunities II

 

  (a) As of the date hereof, RBI Opportunities II beneficially owned 0 Shares.

Percentage: 0%

 

  (b) 1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 0

 

12

 

 

CUSIP No. 774374102

 

F. RBI Manager

 

  (a) As the manager of RBI PI, RBI PII, RBI Opportunities and RBI Opportunities II, RBI Manager may be deemed the beneficial owner of the (i) 5,894 Shares owned by RBI PI, (ii) 3,498 Shares owned by RBI PII, (iii) 0 Shares beneficially owned by RBI Opportunities and (iv) 0 Shares beneficially owned by RBI Opportunities II.

Percentage: Less than 1%

 

  (b) 1. Sole power to vote or direct vote: 9,392
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 9,392
4. Shared power to dispose or direct the disposition: 0

 

G. RBI Plan

 

  (a) As of the date hereof, the RBI Plan beneficially owned 10,558 Shares.

Percentage: Less than 1%

 

  (b) 1. Sole power to vote or direct vote: 10,558
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 10,558
4. Shared power to dispose or direct the disposition: 0

 

H. Mr. Richmond

 

  (a) As of the date hereof, Mr. Richmond beneficially owned 84,438 Shares, including 674 Shares directly owned by his spouse. As the Chairman of Richmond Brothers, manager of RBI Manager and a trustee of the RBI Plan, Mr. Richmond may also be deemed the beneficial owner of the (i) 17,100 Shares owned directly by Richmond Brothers, (ii) 38,410 Shares held in the Separately Managed Accounts, (iii) 5,894  Shares owned by RBI PI, (iv) 3,498 Shares owned by RBI PII, (v) 0 Shares beneficially owned by RBI Opportunities, (vi) 0 Shares beneficially owned by RBI Opportunities II and (vii) 10,558 Shares owned by the RBI Plan.

Percentage: Less than 1%

 

  (b) 1. Sole power to vote or direct vote: 13,544
2. Shared power to vote or direct vote: 28,332
3. Sole power to dispose or direct the disposition: 13,544
4. Shared power to dispose or direct the disposition: 70,894

 

13

 

 

CUSIP No. 774374102

 

I. Mr. Curfman

 

  (a) As of the date hereof, Mr. Curfman beneficially owned 66,068 Shares. As the President of Richmond Brothers and a trustee of the RBI Plan, Mr. Curfman may also be deemed the beneficial owner of the (i) 17,100 Shares owned directly by Richmond Brothers, (ii) 38,410 Shares held in the Separately Managed Accounts and (iii) 10,558 Shares owned by the RBI Plan.

Percentage: Less than 1%

 

  (b) 1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 27,668
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 66,068

 

The filing of this Schedule 13D shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any Shares he or it does not directly own. Each of the Reporting Persons specifically disclaims beneficial ownership of the Shares reported herein that he or it does not directly own.

 

  (c) The transactions in the securities of the Issuer by the Reporting Persons during the past sixty days are set forth in Schedule A and are incorporated herein by reference. Such transactions were effected in the open market.

 

  (e) Each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the Shares on July 11, 2023.

  

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

 

Not applicable.

 

Item 7. Material to be Filed as Exhibits.

 

No material change.

 

14

 

 

CUSIP No. 774374102

 

SIGNATURES

 

After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

Dated: September 6, 2023

 

  Richmond Brothers, Inc.
     
  By: /s/ David S. Richmond
    Name:   David S. Richmond
    Title: Chairman

 

  RBI Private Investment I, LLC
   
  By: RBI PI Manager, LLC
    Manager
     
  By: /s/ David S. Richmond
    Name:   David S. Richmond
    Title: Manager

 

  RBI Private Investment II, LLC
   
  By: RBI PI Manager, LLC
    Manager
     
  By: /s/ David S. Richmond
    Name:   David S. Richmond
    Title: Manager

 

  The RBI Opportunities Fund, LLC
   
  By: RBI PI Manager, LLC
    Manager
     
  By: /s/ David S. Richmond
    Name:   David S. Richmond
    Title: Manager

 

15

 

 

CUSIP No. 774374102

 

  The RBI Opportunities Fund II, LLC
   
  By: RBI PI Manager, LLC
    Manager
     
  By: /s/ David S. Richmond
    Name:   David S. Richmond
    Title: Manager

 

  By: RBI PI Manager, LLC
     
  By: /s/ David S. Richmond
    Name:   David S. Richmond
    Title: Manager

 

  By: Richmond Brothers 401(k) Profit Sharing Plan
     
  By: /s/ David S. Richmond
    Name:   David S. Richmond
    Title: Trustee

 

  /s/ David S. Richmond
  David S. Richmond
   
  /s/ Matthew J. Curfman
  Matthew J. Curfman

 

16

 

 

CUSIP No. 774374102

 

SCHEDULE A

 

Transactions in the Securities of the Issuer During the past sixty days

 

    Richmond Brothers, Inc.
(Through the Separately Managed Accounts)
     

 

Action  Price ($)   Quantity   Net Amnt   Trade Date
Sell   2.39000    -84.00000    200.76   08/29/2023
Sell   2.36230    -271.50000    636.40   08/28/2023
Sell   2.41130    -275.00000    663.10   08/23/2023
Sell   2.26970    -143.00000    319.62   08/22/2023
Sell   2.26040    -271.50000    608.74   08/21/2023
Sell   2.25000    -302.00000    679.49   08/18/2023
Sell   2.21000    -242.00000    534.81   08/17/2023
Sell   2.20810    -104.00000    229.64   08/17/2023
Sell   2.20370    -146.00000    321.74   08/17/2023
Sell   2.81010    -155.00000    430.62   08/09/2023
Sell   3.11430    -59.00000    183.74   08/08/2023
Sell   3.11500    -23.00000    71.65   08/08/2023
Sell   3.11140    -14.00000    43.56   08/08/2023
Sell   3.01840    -79.00000    238.45   08/07/2023
Sell   3.01500    -198.00000    596.97   08/07/2023
Sell   3.05690    -151.00000    461.59   08/07/2023
Sell   3.32000    -108.00000    353.61   08/03/2023
Sell   3.40000    -453.00000    1,540.18   08/03/2023
Sell   3.32170    -116.00000    380.37   08/03/2023
Sell   3.62230    -27.00000    97.80   07/26/2023
Sell   3.49050    -467.00000    1,630.04   07/25/2023
Sell   3.63170    -2.00000    7.26   07/24/2023
Sell   4.03610    -433.00000    1,747.61   07/17/2023
Sell   5.85500    -404.00000    2,365.40   07/10/2023
Sell   5.87030    -239.00000    1,402.98   07/10/2023
Sell   5.88010    -338.00000    1,987.45   07/10/2023
Sell   5.81000    -82.00000    476.42   07/10/2023
Sell   5.73000    -6.00000    34.38   07/10/2023
Sell   5.77800    -380.00000    2,195.62   07/10/2023
Sell   5.87000    -272.00000    1,596.62   07/10/2023
Sell   5.68000    -310.00000    1,755.83   07/07/2023
Sell   5.29270    -201.00000    1,063.82   07/06/2023
Sell   5.32230    -27.00000    143.70   07/06/2023

 

Richmond Brothers 401(K) profit sharing plaN

 

Action  Price ($)   Quanti ty   Net Amnt   Trade Date
Buy   2.46000    73.00000    -179.58   08/23/2023

 

 

 

17