Filing Details

Accession Number:
0001437749-23-020891
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-07-27 16:00:23
Reporting Period:
2023-07-25
Accepted Time:
2023-07-27 16:00:23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1616262 Rocky Mountain Chocolate Factory Inc. RMCF () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1258292 Allen A Arroyo 265 Turner Drive
Durango CO 81303
Cfo No Yes No No
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 2023-07-25 1,000 $5.85 1,015 No 4 P Direct
Common Stock Acquisiton 2023-07-26 500 $5.79 1,515 No 4 P Direct
Common Stock Acquisiton 2023-07-27 500 $5.80 2,015 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
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Non-qualified stock option $6.85 2032-08-10 8,476 8,476 Direct
Common Stock Restricted Stock Units $0.00 39,556 39,556 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2032-08-10 8,476 8,476 Direct
39,556 39,556 Direct
Footnotes
  1. The reported price represents a weighted average purchase price. The Reporting Person undertakes to provide to the staff, the issuer, or a security holder full information regarding the number of shares purchased at each separate price.
  2. Each restricted stock unit represents a contingent right to receive one share of RMCF common stock.
  3. Reported number of shares represents the maximum number of shares that may be issued pursuant to these restricted stock units.
  4. Restricted stock units granted under the Company's 2007 Equity Incentive Plan (as amended) that vest upon RMCF's common stock achieving a specific level of total shareholder return ("TSR") for a performance period ending on 02/28/2025.
  5. Stock Option granted under the Company's 2007 Equity Incentive Plan (as amended) and becomes exercisable with respect to 1/3 of the shares on 02/28/2023 and 1/12 quarterly thereafter until fully exercisable on 02/28/2025.