Filing Details

Accession Number:
0001213900-22-033414
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-06-16 21:44:41
Reporting Period:
2022-06-14
Accepted Time:
2022-06-16 21:44:41
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1616262 Rocky Mountain Chocolate Factory Inc. RMCF Sugar & Confectionery Products (2060) 471535633
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1656039 Andrew Berger 208 Lenox Ave., #409
Westfield NJ 77098
No No No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2022-06-14 175 $6.29 175 No 4 P Direct
Common Stock Acquisiton 2022-06-14 900 $6.30 1,075 No 4 P Direct
Common Stock Acquisiton 2022-06-14 2,502 $6.30 3,577 No 4 P Direct
Common Stock Acquisiton 2022-06-14 1,423 $6.50 5,000 No 4 P Direct
Common Stock Acquisiton 2022-06-14 200 $6.48 5,200 No 4 P Direct
Common Stock Acquisiton 2022-06-14 800 $6.49 6,000 No 4 P Direct
Common Stock Acquisiton 2022-06-14 103 $6.50 6,103 No 4 P Direct
Common Stock Acquisiton 2022-06-14 3,897 $6.62 10,000 No 4 P Direct
Common Stock Acquisiton 2022-06-14 137 $6.35 10,137 No 4 P Direct
Common Stock Acquisiton 2022-06-15 2,500 $6.55 12,637 No 4 P Direct
Common Stock Acquisiton 2022-06-15 1 $6.55 12,638 No 4 P Direct
Common Stock Acquisiton 2022-06-15 20 $6.55 12,658 No 4 P Direct
Common Stock Acquisiton 2022-06-16 100 $6.70 12,758 No 4 P Direct
Common Stock Acquisiton 2022-06-16 2,400 $6.85 15,158 No 4 P Direct
Common Stock Acquisiton 2022-06-16 311 $6.75 15,469 No 4 P Direct
Common Stock Acquisiton 2022-06-16 2,189 $6.85 17,658 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 460,189 Indirect See Footnotes
Footnotes
  1. Mr. Berger is a member of a "group" with AB Value Partners, LP, AB Value Management LLC, Bradley Radoff, Mary Bradley, Richard Degnan, Correne S. Loeffler and Suchit Majmudar 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. The reporting person disclaims beneficial ownership of the securities of the Issuer owned directly by other members of the Section 13(d) group and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
  2. 224,855 of the shares reported herein are owned directly by AB Value Partners, LP, a limited partnership of which AB Value Management LLC is the general partner of which Mr. Berger is the manager. 235,334 of the shares reported herein are owned directly by a managed account (the "Managed Account"), of which AB Value Management LLC is the manager. Mr. Berger may be deemed to beneficially own the shares as the manager of AB Value Management LLC, which may be deemed to beneficially own the shares owned directly by AB Value Partners, LP and the Managed Account by virtue of its relationship with AB Value Partners, LP and the Managed Account.