SEC Form 4 · accession 0001225208-18-000680
ROCKY BRANDS, INC. · RCKY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Simms
Officer — President of Operations
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 4:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000895456
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, without par value | Jan 2, 2018 | M | 2,000 | $0.00 | A | 7,750 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Jan 2, 2018 | M | 500 | D | — | Jan 2, 2018 | Common Stock, without par value | 500 | 0 | D |
| Restricted Stock UnitF1,F2 | — | Jan 2, 2018 | M | 750 | D | — | Jan 2, 2019 | Common Stock, without par value | 750 | 750 | D |
| Restricted Stock UnitF1,F2 | — | Jan 2, 2018 | M | 750 | D | — | Jan 4, 2020 | Common Stock, without par value | 750 | 1,500 | D |
| Stock Option (right to buy)F3 | $18.90 | Jan 2, 2018 | A | 5,000 | A | — | Jan 2, 2028 | Common Stock, without par value | 5,000 | 5,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock.
- F2Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant.
- F3Option vests 20% per year beginning on the first anniversary of the date of grant.