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RCKY Rocky Brands Inc

35.11
1.11 (3.26%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Rocky Brands Inc NASDAQ:RCKY NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  1.11 3.26% 35.11 35.04 39.00 35.6899 34.00 34.63 84,920 05:00:05

Statement of Changes in Beneficial Ownership (4)

20/11/2019 5:10pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Brooks Jason
2. Issuer Name and Ticker or Trading Symbol

ROCKY BRANDS, INC. [ RCKY ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

39 EAST CANAL STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

11/19/2019
(Street)

NELSONVILLE, OH 45764
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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, without par value 11/19/2019  M  2000.0000 A$14.5700 8238.0000 D  
Common Stock, without par value 11/19/2019  M  1000.0000 A$11.5500 9238.0000 D  
Common Stock, without par value 11/19/2019  M  600.0000 A$13.4200 9838.0000 D  
Common Stock, without par value 11/19/2019  M  600.0000 A$11.5600 10438.0000 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (right to buy) $14.5700 11/19/2019  M     2000.0000   (1)1/2/2024 Common Stock, without par value 2000.0000 $0.0000 0.0000 D  
Stock Option (right to buy) $13.4200 11/19/2019  M     600.0000   (1)1/2/2025 Common Stock, without par value 600.0000 $0.0000 600.0000 D  
Stock Option (right to buy) $11.5500 11/19/2019  M     1000.0000   (1)1/3/2027 Common Stock, without par value 1000.0000 $0.0000 3000.0000 D  
Stock Option (right to buy) $11.5600 11/19/2019  M     600.0000   (1)1/4/2026 Common Stock, without par value 600.0000 $0.0000 1200.0000 D  

Explanation of Responses:
(1) Option vests 20% per year beginning on the first anniversary of the date of grant.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Brooks Jason
39 EAST CANAL STREET
NELSONVILLE, OH 45764
X
President and CEO

Signatures
Jeremy D. Siegfried, Attorney-in-Fact11/19/2019
**Signature of Reporting PersonDate

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