SEC Form 4 · accession 0001225208-18-015003
ROCKY BRANDS, INC. · RCKY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Byron Wortham
Officer — President, Core Brands
Period of report
Oct 30, 2018
Accepted (ET)
Oct 31, 2018 · 4:02 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 | Oct 30, 2018 | M | 400 | $11.56 | A | 900 | D | |
| Common Stock, without par value | Oct 30, 2018 | M | 400 | $11.55 | A | 1,300 | D | |
| Common Stock, without par value | Oct 30, 2018 | S | 800 | $29.00 | D | 500 | 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 | $11.55 | Oct 30, 2018 | M | 400 | D | — | Jan 3, 2027 | Common Stock, without par value | 400 | 1,600 | D |
| Stock Option (right to buy)F1 | $11.56 | Oct 30, 2018 | M | 400 | D | — | Jan 4, 2026 | Common Stock, without par value | 400 | 600 | D |
Explanation of responses
- F1Option vests 20% per year beginning on the first anniversary of the date of grant.