SEC Form 4 · accession 0001225208-18-013327
ROCKY BRANDS, INC. · RCKY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Brooks
Officer — President and CEO
Period of report
Sep 6, 2018
Accepted (ET)
Sep 11, 2018 · 5:06 pm 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 | Sep 6, 2018 | M | 1,800 | $13.42 | A | 6,003 | D | |
| Common Stock, without par value | Sep 6, 2018 | M | 1,200 | $11.56 | A | 7,203 | D | |
| Common Stock, without par value | Sep 6, 2018 | M | 1,000 | $11.55 | A | 8,203 | D | |
| Common Stock, without par value | holding | — | — | — | 1,535 | I | By Spouse | |
| Common Stock, without par value | holding | — | — | — | 2,000 | I | Minor Children |
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 | $13.42 | Sep 6, 2018 | M | 1,800 | D | — | Jan 2, 2025 | Common Stock, without par value | 1,800 | 1,200 | D |
| Stock Option (right to buy)F1 | $11.55 | Sep 6, 2018 | M | 1,000 | D | — | Jan 3, 2027 | Common Stock, without par value | 1,000 | 4,000 | D |
| Stock Option (right to buy)F1 | $11.56 | Sep 6, 2018 | M | 1,200 | D | — | Jan 4, 2026 | Common Stock, without par value | 1,200 | 1,800 | D |
Explanation of responses
- F1Option vests 20% per year beginning on the first anniversary of the date of grant.