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RCKY Rocky Brands Inc

31.30
5.53 (21.46%)
Last Updated: 18:54:33
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
  5.53 21.46% 31.30 31.79 32.44 35.00 30.61 31.00 129,882 18:54:33

Statement of Changes in Beneficial Ownership (4)

06/01/2020 5:00pm

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)

1/2/2020
(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 1/4/2020  M  750.0000 A$0.0000 11188.0000 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) $29.4300 1/2/2020  A   5000.0000     (1)1/2/2030 Common Stock, without par value 5000.0000 $0.0000 5000.0000 D  
Restricted Stock Unit  (2)1/4/2020  M     750.0000   (3)1/4/2020 Common Stock, without par value 750.0000 $0.0000 0.0000 D  

Explanation of Responses:
(1) Option vests 20% per year beginning on the first anniversary of the date of grant.
(2) Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock.
(3) Restricted stock unit vests 25% 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-Fact1/6/2020
**Signature of Reporting PersonDate

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