- RMTI Dashboard
- Financials
- Filings
-
Holdings
- Transcripts
- ETFs
- Insider
- Institutional
- Shorts
-
SC 13D Filing
Rockwell Medical (RMTI) SC 13DRockwell Medical, Inc.
Filed: 21 Feb 17, 12:00am
1 | NAME OF REPORTING PERSON Richmond Brothers, Inc. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 5,183,152 | |
8 | SHARED VOTING POWER - 0 - | ||
9 | SOLE DISPOSITIVE POWER 5,183,152 | ||
10 | SHARED DISPOSITIVE POWER - 0 - | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,183,152 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.1% | ||
14 | TYPE OF REPORTING PERSON IA, CO |
1 | NAME OF REPORTING PERSON RBI Private Investment I, LLC | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 164,841 | |
8 | SHARED VOTING POWER - 0 - | ||
9 | SOLE DISPOSITIVE POWER 164,841 | ||
10 | SHARED DISPOSITIVE POWER - 0 - | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 164,841 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSON RBI PI Manager, LLC | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS 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 164,841 | |
8 | SHARED VOTING POWER - 0 - | ||
9 | SOLE DISPOSITIVE POWER 164,841 | ||
10 | SHARED DISPOSITIVE POWER - 0 - | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 164,841 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSON Richmond Brothers 401(k) Profit Sharing Plan | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 34,087 | |
8 | SHARED VOTING POWER - 0 - | ||
9 | SOLE DISPOSITIVE POWER 34,087 | ||
10 | SHARED DISPOSITIVE POWER - 0 - | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 34,087 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON EP |
1 | NAME OF REPORTING PERSON David S. Richmond | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 | 7 | SOLE VOTING POWER 341,253 | |
8 | SHARED VOTING POWER 5,245,489 | ||
9 | SOLE DISPOSITIVE POWER 341,253 | ||
10 | SHARED DISPOSITIVE POWER 5,245,489 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,586,742 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.8% | ||
14 | TYPE OF REPORTING PERSON IN |
1 | NAME OF REPORTING PERSON Matthew J. Curfman | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 | 7 | SOLE VOTING POWER 40,684 | |
8 | SHARED VOTING POWER 5,251,624 | ||
9 | SOLE DISPOSITIVE POWER 40,684 | ||
10 | SHARED DISPOSITIVE POWER 5,251,624 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,292,308 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.3% | ||
14 | TYPE OF REPORTING PERSON IN |
1 | NAME OF REPORTING PERSON Norman J. Ravich Irrevocable Trust | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 MINNESOTA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 44,400 | |
8 | SHARED VOTING POWER -0- | ||
9 | SOLE DISPOSITIVE POWER 44,400 | ||
10 | SHARED DISPOSITIVE POWER -0- | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 44,400 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSON Norman and Sally Ravich Family Trust | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 MINNESOTA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 18,500* | |
8 | SHARED VOTING POWER -0- | ||
9 | SOLE DISPOSITIVE POWER 18,500* | ||
10 | SHARED DISPOSITIVE POWER -0- | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 18,500* | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSON Alexander Coleman Ravich 1991 Irrevocable Trust | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 MINNESOTA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 25,000 | |
8 | SHARED VOTING POWER - 0 - | ||
9 | SOLE DISPOSITIVE POWER 25,000 | ||
10 | SHARED DISPOSITIVE POWER - 0 - | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 25,000 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSON Alyssa Danielle Ravich 1991 Irrevocable Trust | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
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 MINNESOTA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 25,000 | |
8 | SHARED VOTING POWER - 0 - | ||
9 | SOLE DISPOSITIVE POWER 25,000 | ||
10 | SHARED DISPOSITIVE POWER - 0 - | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 25,000 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSON Mark H. Ravich | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS PF, 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 USA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 467,650* | |
8 | SHARED VOTING POWER - 0 - | ||
9 | SOLE DISPOSITIVE POWER 467,650* | ||
10 | SHARED DISPOSITIVE POWER - 0 - | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 467,650* | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1%* | ||
14 | TYPE OF REPORTING PERSON IN |
Item 1. | Security and Issuer. |
Item 2. | Identity and Background. |
(i) | Richmond Brothers, Inc., a Michigan corporation (“Richmond Brothers”), which serves as the investment advisor to certain managed accounts (the “Separately Managed Accounts”); |
(ii) | RBI Private Investment I, LLC, a Delaware limited liability company (“RBI PI”); |
(iii) | RBI PI Manager, LLC, a Delaware limited liability company (“RBI Manager”), which serves as the manager of RBI PI; |
(iv) | Richmond Brothers 401(k) Profit Sharing Plan, an employee benefit plan organized under the laws of Michigan (the “RBI Plan”); |
(v) | David S. Richmond, who serves as Chairman of Richmond Brothers, manager of RBI Manager and a trustee of the RBI Plan; |
(vi) | Matthew J. Curfman, who serves as President of Richmond Brothers and a trustee of the RBI Plan; |
(vii) | Norman J. Ravich Irrevocable Trust, a Minnesota trust (the “NJR Trust”); |
(viii) | Norman and Sally Ravich Family Trust, a Minnesota trust (the “NSR Trust”); |
(ix) | Alexander Coleman Ravich 1991 Irrevocable Trust, a Minnesota trust (the “ACR Trust”); |
(x) | Alyssa Danielle Ravich 1991 Irrevocable Trust, a Minnesota trust (the “ADR Trust” and together with the NJR Trust, NSR Trust and ACR Trust, the “Ravich Trusts”); and |
(xi) | Mark H. Ravich, who serves as the trustee of each of the Ravich Trusts. |
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 4. | Purpose of Transaction. |
Item 5. | Interest in Securities of the Issuer. |
A. | Richmond Brothers |
(a) | As of the close of business on February 20, 2017, 5,183,152 Shares were held in the Separately Managed Accounts. As the investment advisor to the Separately Managed Accounts, Richmond Brothers may be deemed the beneficial owner of the 5,183,152 Shares held in the Separately Managed Accounts. |
(b) | 1. Sole power to vote or direct vote: 5,183,152 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 5,183,152 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the securities of the Issuer by Richmond Brothers through the Separately Managed Accounts during the past sixty days are set forth in Schedule A and are incorporated herein by reference. |
B. | RBI PI |
(a) | As of the close of business on February 20, 2017, RBI PI beneficially owned 164,841 Shares. |
(b) | 1. Sole power to vote or direct vote: 164,841 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 164,841 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | RBI PI has not entered into any transactions in the securities of the Issuer during the past sixty days. |
C. | RBI Manager |
(a) | As the manager of RBI PI, RBI Manager may be deemed the beneficial owner of the 164,841 Shares owned by RBI PI. |
(b) | 1. Sole power to vote or direct vote: 164,841 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 164,841 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | RBI Manager has not entered into any transactions in the securities of the Issuer during the past sixty days. |
D. | RBI Plan |
(a) | As of the close of business on February 20, 2017, the RBI Plan beneficially owned 34,087 Shares. |
(b) | 1. Sole power to vote or direct vote: 34,087 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 34,087 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the securities of the Issuer by the RBI Plan during the past sixty days are set forth in Schedule A and are incorporated herein by reference. |
E. | Mr. Richmond |
(a) | As of the close of business on February 20, 2017, Mr. Richmond beneficially owned 204,662 Shares, including 28,096 Shares directly owned by his spouse, 147 Shares directly owned by his daughter and 7 Shares directly owned by his son. 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) 5,183,152 Shares held in the Separately Managed Accounts, (ii) 164,841 Shares owned by RBI PI and (iii) 34,087 Shares owned by the RBI Plan. |
(b) | 1. Sole power to vote or direct vote: 341,253 |
2. Shared power to vote or direct vote: 5,245,489 |
3. Sole power to dispose or direct the disposition: 341,253 |
4. Shared power to dispose or direct the disposition: 5,245,489 |
(c) | Mr. Richmond has not entered into any transactions in the securities of the Issuer during the past sixty days. The transactions in the securities of the Issuer through the Separately Managed Accounts and by the RBI Plan during the past sixty days are set forth in Schedule A and are incorporated herein by reference. |
F. | Mr. Curfman |
(a) | As of the close of business on February 20, 2017, Mr. Curfman beneficially owned 75,069 Shares, including 34,385 Shares directly owned by his spouse. 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) 5,183,152 Shares held in the Separately Managed Accounts and (ii) 34,087 Shares owned by the RBI Plan. |
(b) | 1. Sole power to vote or direct vote: 40,684 |
2. Shared power to vote or direct vote: 5,251,624 |
3. Sole power to dispose or direct the disposition: 40,684 |
4. Shared power to dispose or direct the disposition: 5,251,624 |
(c) | Mr. Curfman has not entered into any transactions in the securities of the Issuer during the past sixty days. The transactions in the securities of the Issuer through the Separately Managed Accounts and by the RBI Plan during the past sixty days are set forth in Schedule A and are incorporated herein by reference. |
G. | NJR Trust |
(a) | As of the close of business on February 20, 2017, the NJR Trust beneficially owned 44,400 Shares. |
(b) | 1. Sole power to vote or direct vote: 44,400 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 44,400 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | The NJR Trust has not entered into any transactions in the securities of the Issuer during the past sixty days. |
H. | NSR Trust |
(a) | As of the close of business on February 20, 2017, the NSR Trust beneficially owned 18,500 Shares, representing Shares underlying certain call options. |
(b) | 1. Sole power to vote or direct vote: 18,500 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 18,500 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | The NSR Trust has not entered into any transactions in the securities of the Issuer during the past sixty days. |
I. | ACR Trust |
(a) | As of the close of business on February 20, 2017, the ACR Trust beneficially owned 25,000 Shares. |
(b) | 1. Sole power to vote or direct vote: 25,000 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 25,000 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | The ACR Trust has not entered into any transactions in the securities of the Issuer during the past sixty days. |
J. | ADR Trust |
(a) | As of the close of business on February 20, 2017, the ADR Trust beneficially owned 25,000 Shares. |
(b) | 1. Sole power to vote or direct vote: 25,000 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 25,000 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | The ADR Trust has not entered into any transactions in the securities of the Issuer during the past sixty days. |
K. | Mr. Ravich |
(a) | As of the close of business on February 20, 2017, Mr. Ravich directly beneficially owned 354,750 Shares, including 70,000 Shares underlying certain call options. In addition, as the trustee of each of the Ravich Trusts, Mr. Ravich may be deemed the beneficial owner of the (i) 44,400 Shares owned by the NJR Trust, (ii) 18,500 Shares beneficially owned by the NSR Trust, (iii) 25,000 Shares owned by the ACR Trust and (iv) 25,000 Shares owned by the ADR Trust. |
(b) | 1. Sole power to vote or direct vote: 467,650 |
2. Shared power to vote or direct vote: 0 |
3. Sole power to dispose or direct the disposition: 467,650 |
4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the securities of the Issuer by Mr. Ravich during the past sixty days are set forth in Schedule A and are incorporated herein by reference. |
(d) | Other than the clients of the Separately Managed Accounts for which Richmond Brothers acts as the investment advisor, no person other than the Reporting Persons is known to have the right to receive, or the power to direct the receipt of dividends from, or proceeds from the sale of, the Shares. |
(e) | Not applicable. |
Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. |
Item 7. | Material to be Filed as Exhibits. |
99.1 | Group Agreement, dated February 20, 2016. |
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 |
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 |
Norman J. Ravich Irrevocable Trust | |||
By: | /s/ Mark H. Ravich | ||
Name: | Mark H. Ravich | ||
Title: | Trustee |
Alexander Coleman Ravich 1991 Irrevocable Trust | |||
By: | /s/ Mark H. Ravich | ||
Name: | Mark H. Ravich | ||
Title: | Trustee |
Alyssa Danielle Ravich 1991 Irrevocable Trust | |||
By: | /s/ Mark H. Ravich | ||
Name: | Mark H. Ravich | ||
Title: | Trustee |
Norman and Sally Ravich Family Trust | |||
By: | /s/ Mark H. Ravich | ||
Name: | Mark H. Ravich | ||
Title: | Trustee |
/s/ Mark H. Ravich | |
Mark H. Ravich |
Nature of Transaction | Securities Purchased/(Sold) | Price per Share ($) | Date of Purchase / Sale |
Sale of Common Stock | (63) | 6.5310 | 12/19/2016 |
Sale of Common Stock | (206) | 6.4701 | 12/20/2016 |
Purchase of Common Stock | 300 | 6.5833 | 12/20/2016 |
Sale of Common Stock | (74) | 6.2670 | 12/21/2016 |
Purchase of Common Stock | 1,592 | 6.2792 | 12/21/2016 |
Purchase of Common Stock | 764 | 6.2915 | 12/21/2016 |
Purchase of Common Stock | 955 | 6.2989 | 12/21/2016 |
Sale of Common Stock | (14) | 6.2536 | 12/22/2016 |
Purchase of Common Stock | 140 | 6.3500 | 12/22/2016 |
Sale of Common Stock | (46) | 6.3959 | 12/23/2016 |
Sale of Common Stock | (71) | 6.3985 | 12/23/2016 |
Purchase of Common Stock | 759 | 6.5801 | 12/23/2016 |
Purchase of Common Stock | 30 | 6.5900 | 12/23/2016 |
Purchase of Common Stock | 789 | 6.3380 | 12/28/2016 |
Purchase of Common Stock | 940 | 6.3396 | 12/28/2016 |
Purchase of Common Stock | 58 | 6.5869 | 12/29/2016 |
Purchase of Common Stock | 64 | 6.5900 | 12/29/2016 |
Purchase of Common Stock | 2,137 | 6.5419 | 12/30/2016 |
Sale of Common Stock | (448) | 6.4038 | 01/03/2017 |
Purchase of Common Stock | 303 | 6.6000 | 01/05/2017 |
Purchase of Common Stock | 759 | 6.6023 | 01/05/2017 |
Purchase of Common Stock | 893 | 6.7277 | 01/06/2017 |
Purchase of Common Stock | 155 | 6.4425 | 01/09/2017 |
Purchase of Common Stock | 155 | 6.4520 | 01/09/2017 |
Sale of Common Stock | (285) | 6.2721 | 01/13/2017 |
Purchase of Common Stock | 518 | 5.7959 | 01/17/2017 |
Sale of Common Stock | (1,090) | 5.8037 | 01/17/2017 |
Sale of Common Stock | (93) | 5.8540 | 01/17/2017 |
Purchase of Common Stock | 833 | 6.0084 | 01/17/2017 |
Purchase of Common Stock | 696 | 5.7561 | 01/18/2017 |
Purchase of Common Stock | 347 | 5.7813 | 01/18/2017 |
Purchase of Common Stock | 523 | 5.7272 | 01/19/2017 |
Purchase of Common Stock | 853 | 5.8512 | 01/19/2017 |
Purchase of Common Stock | 906 | 5.5215 | 01/20/2017 |
Purchase of Common Stock | 901 | 5.5725 | 01/20/2017 |
Purchase of Common Stock | 450 | 5.5799 | 01/20/2017 |
Purchase of Common Stock | 179 | 5.5853 | 01/20/2017 |
Purchase of Common Stock | 662 | 5.2558 | 01/23/2017 |
Purchase of Common Stock | 1,521 | 5.2673 | 01/23/2017 |
Purchase of Common Stock | 387 | 5.1600 | 01/24/2017 |
Purchase of Common Stock | 388 | 5.1621 | 01/24/2017 |
Purchase of Common Stock | 306 | 5.5566 | 01/25/2017 |
Sale of Common Stock | (1,615) | 5.5700 | 01/25/2017 |
Purchase of Common Stock | 401 | 5.6016 | 01/25/2017 |
Purchase of Common Stock | 73 | 5.6268 | 01/25/2017 |
Purchase of Common Stock | 474 | 5.4900 | 01/26/2017 |
Purchase of Common Stock | 474 | 5.4917 | 01/26/2017 |
Purchase of Common Stock | 361 | 5.5381 | 01/26/2017 |
Sale of Common Stock | (227) | 5.3688 | 01/27/2017 |
Purchase of Common Stock | 275 | 5.4618 | 01/27/2017 |
Purchase of Common Stock | 912 | 5.4835 | 01/27/2017 |
Purchase of Common Stock | 272 | 5.5122 | 01/27/2017 |
Purchase of Common Stock | 931 | 5.3569 | 01/30/2017 |
Purchase of Common Stock | 186 | 5.3621 | 01/30/2017 |
Purchase of Common Stock | 1,013 | 5.3982 | 01/30/2017 |
Sale of Common Stock | (80) | 5.4480 | 01/30/2017 |
Purchase of Common Stock | 100 | 5.4560 | 01/30/2017 |
Purchase of Common Stock | 362 | 5.5317 | 01/30/2017 |
Purchase of Common Stock | 1,000 | 5.5867 | 01/31/2017 |
Purchase of Common Stock | 528 | 5.7014 | 01/31/2017 |
Purchase of Common Stock | 182 | 5.7183 | 01/31/2017 |
Purchase of Common Stock | 235 | 5.7325 | 01/31/2017 |
Purchase of Common Stock | 175 | 5.7331 | 01/31/2017 |
Purchase of Common Stock | 5,102 | 5.9401 | 02/01/2017 |
Purchase of Common Stock | 4,166 | 5.9463 | 02/03/2017 |
Purchase of Common Stock | 3,305 | 5.9865 | 02/03/2017 |
Purchase of Common Stock | 7,335 | 5.9948 | 02/03/2017 |
Purchase of Common Stock | 58 | 6.0040 | 02/03/2017 |
Sale of Common Stock | (270) | 6.1178 | 02/03/2017 |
Purchase of Common Stock | 880 | 6.1250 | 02/03/2017 |
Purchase of Common Stock | 800 | 6.1250 | 02/03/2017 |
Purchase of Common Stock | 339 | 6.1399 | 02/03/2017 |
Purchase of Common Stock | 1,661 | 6.0578 | 02/06/2017 |
Sale of Common Stock | (200) | 6.0581 | 02/06/2017 |
Purchase of Common Stock | 1,000 | 6.1822 | 02/06/2017 |
Purchase of Common Stock | 327 | 6.1060 | 02/07/2017 |
Purchase of Common Stock | 2,258 | 6.1250 | 02/07/2017 |
Purchase of Common Stock | 164 | 6.0814 | 02/08/2017 |
Purchase of Common Stock | 812 | 6.1633 | 02/08/2017 |
Sale of Common Stock | (287) | 6.1350 | 02/09/2017 |
Purchase of Common Stock | 159 | 6.1427 | 02/09/2017 |
Purchase of Common Stock | 154 | 6.1690 | 02/09/2017 |
Purchase of Common Stock | 259 | 5.8103 | 02/10/2017 |
Purchase of Common Stock | 370 | 5.8308 | 02/10/2017 |
Purchase of Common Stock | 84 | 5.8499 | 02/10/2017 |
Purchase of Common Stock | 170 | 5.8702 | 02/10/2017 |
Purchase of Common Stock | 95 | 5.9000 | 02/10/2017 |
Purchase of Common Stock | 48 | 5.9000 | 02/10/2017 |
Purchase of Common Stock | 845 | 5.9226 | 02/10/2017 |
Purchase of Common Stock | 339 | 5.9301 | 02/10/2017 |
Purchase of Common Stock | 338 | 5.9022 | 02/13/2017 |
Sale of Common Stock | (56) | 6.5305 | 12/19/2016 |
Purchase of Common Stock | 247 | 5.3168 | 01/23/2017 |
Purchase of Common Stock | 248 | 5.3168 | 01/23/2017 |
Purchase of Common Stock | 267 | 5.3168 | 01/23/2017 |
Purchase of Common Stock | 268 | 5.3168 | 01/23/2017 |
Purchase of Common Stock | 123 | 5.9000 | 02/09/2017 |
Purchase of Common Stock | 152 | 5.9000 | 02/09/2017 |
Purchase of Common Stock | 2,338 | 5.8911 | 02/13/2017 |
Purchase of Common Stock | 1,105 | 5.8911 | 02/13/2017 |
Purchase of Common Stock | 850 | 6.0100 | 01/13/2017 |
Purchase of Common Stock | 470 | 5.9700 | 02/09/2017 |