|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
|
||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |||
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Non-Qualified Stock Options | (4) | 12/16/2029 | Common Stock | 4,545 | $ 24.2 | D | |
| Non-Qualified Stock Options | (5) | 06/11/2030 | Common Stock | 13,636 | $ 22.44 | D | |
| Non-Qualified Stock Options | (6) | 05/03/2031 | Common Stock | 13,636 | $ 10.38 | D | |
| Non-Qualified Stock Options | (7) | 09/09/2032 | Common Stock | 60,000 | $ 1.66 | D | |
| Non-Qualified Stock Options | (8) | 03/17/2033 | Common Stock | 32,990 | $ 1.37 | D | |
| Non-Qualified Stock Options | (9) | 03/14/2034 | Common Stock | 47,190 | $ 1.39 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Chole Timothy C/O ROCKWELL MEDICAL, INC. 30142 WIXOM ROAD WIXOM, MI 48393 |
SVP, CHIEF COMMERCIAL OFFICER | |||
| /s/ Megan Timmins, Attorney-in-Fact for Timothy Chole | 05/30/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Restricted stock units fully vest on March 14, 2027, subject to the Reporting Person's continued service to the Issuer. |
| (2) | Restricted stock units fully vest on March 17, 2025, subject to the Reporting Person's continued service to the Issuer. |
| (3) | Includes 12,832 shares of unvested common stock. |
| (4) | Stock options vested in three equal installments on the first, second and third anniversaries of December 16, 2019. |
| (5) | Stock options vested in three equal installments on the first, second and third anniversaries of June 11, 2020. |
| (6) | Stock options vest in two equal installments on the second and fourth anniversaries of May 3, 2021, subject to the Reporting Person's continued service to the Issuer. |
| (7) | Stock options vest in four equal installments on the first, second, third and fourth anniversaries of September 9, 2022, subject to the Reporting Person's continued service to the Issuer. |
| (8) | Stock options vest 25% on the first anniversary of March 17, 2023, with the remainder vesting in equal monthly installments through March 17, 2027, subject to the Reporting Person's continued service to the Issuer. |
| (9) | Stock options vest 25% on the first anniversary of March 14, 2024, with the remainder vesting in equal monthly installments through March 17, 2027, subject to the Reporting Person's continued service to the Issuer. |
| Remarks: Ex. 24 - Power of Attorney |
|