Other Information.
−Removed: During the three months ended March 31, 2024, no director or “officer” (as defined in Rule 16a-1(f) under the Exchange Act) of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
+Added: Director and executive officer trading arrangements
+Added: The following table provides information concerning Rule 10b5-1 trading arrangements adopted during the three months ended June 30, 2024, by any director or any executive officer who is subject to the filing requirements of Section 16 of the Securities Exchange Act of 1934.
+Added: These trading arrangements are intended to satisfy the affirmative defense of Rule 10b5-1(c).
+Added: No non-Rule 10b5-1 trading arrangements were adopted by any director or executive officer during the second quarter of 2024.
+Added: In addition, no Rule 10b5-1 or non-Rule 10b5-1 trading arrangements were terminated by any director or executive officer in the second quarter of 2024.
+Added: Name Title Adoption Date Duration (a)
+Added: Number of shares to be sold
+Added: Mark Strobeck President and CEO May 31, 2024 May 31, 2024 – October 2, 2025 25,104
+Added: Timothy Chole SVP and Chief Commercial Officer June 7, 2024 June 7, 2024 – October 2, 2025 10,606
+Added: a Subject to compliance with Rule 10b5-1, duration could cease earlier than the final date shown above to the extent that the aggregate number of shares to be sold under the trading arrangement have been sold.
The exhibits filed or furnished as part of this Quarterly Report on Form 10-Q are set forth on the Exhibit Index, which Exhibit Index is incorporated herein by reference.
EXHIBIT INDEX
−Removed: 4.1 Form of January 2024 Warrant to Purchase Common Stock issued to Innovatus Life Sciences Lending Fund I, LP (Exhibit 4.1 to the Company's Form 8-K filed on January 8, 2024).
−Removed: 10.1 Third Amendment to and Restatement of Loan and Security Agreement, dated January 1, 2024, by and among the Company, Rockwell Transportation, Inc., Innovatus Life Sciences Lending Fund I, LP and the lenders party thereto (Exhibit 10.1 to the Company's Form 8-K filed on January 8, 2024).
31.1* Certification pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934
7 unchanged sentences
101.PRE* XBRL Taxonomy Extension Presentation Linkbase
−Removed: 104* The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024, formatted in Inline XBRL (included as Exhibit 101)
+Added: 104* The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2024, formatted in Inline XBRL (included as Exhibit 101)
* Filed herewith
2 unchanged sentences
ROCKWELL MEDICAL, INC.
−Removed: May 14, 2024 /s/ Mark Strobeck
+Added: August 8, 2024 /s/ Mark Strobeck
Mark Strobeck, Ph.D.
1 unchanged sentence
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.