SEC Form 4 · accession 0001225208-18-010721
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
Jun 14, 2018
Accepted (ET)
Jun 18, 2018 · 9:57 am EDT
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 | Jun 14, 2018 | M | 1,600 | $14.57 | A | 5,350 | D | |
| Common Stock, without par value | Jun 14, 2018 | M | 1,500 | $13.42 | A | 6,850 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $14.57 | Jun 14, 2018 | M | 1,600 | D | — | Jan 2, 2024 | Common Stock, without par value | 1,600 | 400 | D |
| Stock Option (right to buy)F1 | $13.42 | Jun 14, 2018 | M | 1,500 | D | — | Jan 2, 2025 | Common Stock, without par value | 1,500 | 1,500 | D |
Explanation of responses
- F1Option vests 20% per year beginning on the first anniversary of the date of grant.