-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P8FCWORfbteEVIzkF0HIpzqBslSSELb460dpJEyvNdONuTPNIIvQ0F8FQme++4Hk mBsJvry4oF0/L0e3Oloqkw== 0000950152-97-000939.txt : 19970222 0000950152-97-000939.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950152-97-000939 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKY SHOES & BOOTS INC CENTRAL INDEX KEY: 0000895456 STANDARD INDUSTRIAL CLASSIFICATION: FOOTWEAR, (NO RUBBER) [3140] IRS NUMBER: 311364046 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49703 FILM NUMBER: 97530602 BUSINESS ADDRESS: STREET 1: 39 EAST CANAL STREET CITY: NELSONVILLE STATE: OH ZIP: 45764 BUSINESS PHONE: 6147531951 MAIL ADDRESS: STREET 1: 39 EAST CANAL STREET CITY: NELSONVILLE STATE: OH ZIP: 45764 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BROOKS MIKE CENTRAL INDEX KEY: 0000904913 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ROCKY SHOES & BOOTS INC STREET 2: 39 E CANAL ST CITY: NELSONVILLE STATE: OH ZIP: 45764 BUSINESS PHONE: 6147982000 MAIL ADDRESS: STREET 1: ROCKY SHOES & BOOTS INC STREET 2: 39 E CANAL ST CITY: NELSONVILLE STATE: OH ZIP: 45764 SC 13G/A 1 ROCKY SHOES & BOOTS/MIKE BROOKS SC 13G/A 1 OMB APPROVAL --------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response....14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.3 ) Rocky Shoes & Boots, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, without par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 774830 10 3 -------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 2 CUSIP NO. 774830 10 3 13G Page ____ of ____ Pages ------------ - ------------------------------------------------------------------------------- 1 NAME OR REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mike Brooks ###-##-#### - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 463,669 SHARES ------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING OWNER OWNED BY 0 EACH ------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 463,669 ------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 463,669 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Mike Brooks expressly disclaims beneficial ownership of 360 shares held by his spouse - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 12.2% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 CUSIP No. 774830 10 3 SCHEDULE 13G ITEM 1. (a) Name of Issuer: Rocky Shoes & Boots, Inc. (b) Address of Issuer's Principal Executive Offices: 39 East Canal Street Nelsonville, Ohio 45764 ITEM 2. (a) Names of Persons Filing: (i) Mike Brooks (ii) Barbara Brooks Fuller (iii) Jay W. Brooks (iv) Patricia H. Robey (b) Address of Principal Business Office for Each Person Filing: Rocky Shoes & Boots, Inc. 39 East Canal Street Nelsonville, Ohio 45764 (c) Citizenship: All of the persons filing are citizens of the United States of America. (d) Title of Class of Securities: Common Stock, without par value (e) CUSIP Number: 774830 10 3 4 ITEM 3. Item 3 is not applicable. ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: (i) Mike Brooks: 463,669 Shares (ii) Barbara Brooks Fuller: 324,500 Shares (iii) Jay W. Brooks: 303,180 Shares (iv) Patricia H. Robey: 258,470 Shares (b) Percent of Class: (i) Mike Brooks: 12.2% (ii) Barbara Brooks Fuller: 8.6% (iii) Jay W. Brooks: 8.0% (iv) Patricia H. Robey: 6.8% (c) Number of Shares as to Which Such Person Has: (i) Sole power to vote or direct the vote: (A) Mike Brooks: 463,669 Shares (B) Barbara Brooks Fuller: 324,500 Shares (C) Jay W. Brooks: 303,180 Shares (D) Patricia H. Robey: 258,470 Shares (ii) Shared power to vote or direct the vote: 0 (iii) Sole power to dispose or direct the disposition of: (A) Mike Brooks: 463,669 Shares 5 (B) Barbara Brooks Fuller: 324,500 Shares (C) Jay W. Brooks: 303,180 Shares (D) Patricia H. Robey: 258,470 Shares (iv) Shared power to dispose or direct the disposition of: 0 ITEM 5. OWNERSHIP OF 5% OR LESS OF A CLASS Item 5 is not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Item 6 is not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Item 7 is not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Item 8 is not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Item 9 is not applicable. ITEM 10. CERTIFICATION Item 10 is not applicable. 6 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 7, 1997 /s/ Mike Brooks ---------------------------- Mike Brooks February 7, 1997 /s/ Barbara Brooks Fuller ---------------------------- Barbara Brooks Fuller February 7, 1997 /s/ Jay W. Brooks ---------------------------- Jay W. Brooks February 7, 1997 /s/ Patricia H. Robey ---------------------------- Patricia H. Robey -----END PRIVACY-ENHANCED MESSAGE-----