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RMCF Rocky Mountain Chocolate Factory Inc

3.56
-0.02 (-0.56%)
07 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Rocky Mountain Chocolate Factory Inc NASDAQ:RMCF NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.02 -0.56% 3.56 3.40 4.00 3.59 3.50 3.59 37,434 01:00:00

Statement of Changes in Beneficial Ownership (4)

29/09/2021 12:00am

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 *

Radoff Bradley Louis
2. Issuer Name and Ticker or Trading Symbol

Rocky Mountain Chocolate Factory, Inc. [ RMCF ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
_____ Officer (give title below)    __X__ Other (specify below)
See Explanation of Responses
(Last)          (First)          (Middle)

2727 KIRBY DRIVE, UNIT 29L
3. Date of Earliest Transaction (MM/DD/YYYY)

9/24/2021
(Street)

HOUSTON, TX 77098
(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 9/24/2021  P  6397 A$7.42 440021 D (1) 

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

Explanation of Responses:
(1) These securities reported herein are owned solely by Bradley Radoff, who is a member of a "group" with AB Value Partners, LP, AB Value Management LLC, Andrew Berger, Mark Riegel, Sandra Elizabeth Taylor and Rhonda J. Parish for purposes of Section 13(d) of the Exchange Act that collectively beneficially owns over 10% of the Issuer's outstanding shares of Common Stock.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Radoff Bradley Louis
2727 KIRBY DRIVE, UNIT 29L
HOUSTON, TX 77098



See Explanation of Responses

Signatures
/s/ Bradley Radoff9/28/2021
**Signature of Reporting PersonDate

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