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  4. [Form 4] Retractable Technologies, Inc Insider Trading Activity

Thomas J. Shaw increases RVP stake via 10b5-1 plan purchase

Filing Impact
(Neutral)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

Thomas J. Shaw, President, CEO and director of Retractable Technologies, Inc. (RVP), reported an insider purchase under a Rule 10b5-1 plan. On 08/18/2025 Mr. Shaw acquired 32,935 shares of the company at a weighted-average price of $0.795 per share. Following the transaction he beneficially owns 15,636,283 shares directly and 831,600 shares indirectly, with indirect holdings reflecting trustee investment power and a voting agreement described in the filing. The Form 4 was executed under a 10b5-1 plan adopted August 22, 2024 and was signed by an attorney-in-fact on 08/19/2025.

Positive

  • Insider purchase of 32,935 shares under a Rule 10b5-1 plan, indicating management participation in the equity
  • High insider ownership: direct beneficial ownership of 15,636,283 shares plus 831,600 indirect, aligning CEO interests with shareholders
  • Clear disclosure of 10b5-1 plan adoption date (August 22, 2024) and nature of indirect holdings

Negative

  • None.

Insights

TL;DR: Insider buying under a 10b5-1 plan increases CEO stake; routine but supportive of alignment with shareholders.

The reported acquisition of 32,935 shares at a weighted-average price of $0.795 is a direct purchase by the CEO under a pre-established Rule 10b5-1 plan. The transaction increases the CEOs direct beneficial ownership to 15,636,283 shares, with an additional 831,600 shares held indirectly. For investors, insider purchases under a documented trading plan can signal confidence while limiting concerns about opportunistic timing. The position size confirms material insider ownership that aligns management incentives with shareholders.

TL;DR: Filing is clear and compliant; use of a 10b5-1 plan and attorney-in-fact signature indicate procedural compliance.

The Form 4 discloses the adoption date of the 10b5-1 plan and shows the filing was executed by an attorney-in-fact, which are standard governance controls for insider transactions. The disclosure of indirect holdings via a trust and a voting agreement provides useful clarity on control and investment power. No amendments or unexplained liens are shown in the filing, and reporting appears complete for the transaction described.

Insider SHAW THOMAS J
Role PRESIDENT AND CEO
Bought 32,935 shs ($26K)
Type Security Shares Price Value
Purchase Common Stock 32,935 $0.795 $26K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 15,636,283 shares (Direct); Common Stock — 831,600 shares (Indirect, Voting or Investment Control)
Footnotes (1)
  1. Represents weighted average price. Mr. Shaw has investment power over 500,000 shares as Trustee for the benefit of a family member. Mr. Shaw has voting control over the remainder of the shares pursuant to a voting agreement.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
SHAW THOMAS J
(Last) (First) (Middle)
511 LOBO LANE
(Street)
LITTLE ELM TX 75068
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
RETRACTABLE TECHNOLOGIES INC [ RVP ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
PRESIDENT AND CEO
3. Date of Earliest Transaction (Month/Day/Year)
08/18/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/18/2025 P 32,935 A $0.795(1) 15,636,283 D
Common Stock 831,600 I Voting or Investment Control(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents weighted average price.
2. Mr. Shaw has investment power over 500,000 shares as Trustee for the benefit of a family member. Mr. Shaw has voting control over the remainder of the shares pursuant to a voting agreement.
Remarks:
The Rule 10b5-1 Plan's date of adoption was August 22, 2024.
/s/ D. Valerie Thomas, Attorney-in-Fact 08/19/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What transaction did RVP insider Thomas J. Shaw report on Form 4?

Mr. Shaw reported acquiring 32,935 shares of RVP on 08/18/2025 at a weighted-average price of $0.795 per share.

How many RVP shares does Thomas J. Shaw beneficially own after the transaction?

After the reported purchase he beneficially owns 15,636,283 shares directly and 831,600 shares indirectly.

Was the RVP transaction part of a trading plan?

Yes. The acquisition was made pursuant to a Rule 10b5-1 plan adopted on August 22, 2024.

What is the nature of Mr. Shaws indirect ownership in RVP?

The filing states Mr. Shaw has investment power over 500,000 shares as Trustee for a family member and voting control over the remainder via a voting agreement.

Who signed the Form 4 for this transaction?

The Form 4 was signed by D. Valerie Thomas, Attorney-in-Fact on 08/19/2025.