-----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, IhWOUp89q00joRdb2qkDLWC6+k2+ibK5sb4PbsHbWqNrzyFJ+ceF5nbbtS/mt/Ck wmQ4AuBV0aaymEtOzC9/Hg== 0000950152-03-001743.txt : 20030213 0000950152-03-001743.hdr.sgml : 20030213 20030213155644 ACCESSION NUMBER: 0000950152-03-001743 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030213 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: 005-43272 FILM NUMBER: 03559577 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 l98942asc13gza.txt ROCKY SHOES & BOOTS SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.9)* Rocky Shoes & Boots, Inc . - -------------------------------------------------------------------------------- (Name of Issuer) Common stock, without par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 774830 10 3 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [x] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a 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). CUSIP NO. 774830 10 3 13G PAGE 2 - -------------------------------------------------------------------------------- 1 Names of Reporting Persons MIKE BROOKS S.S. or I.R.S. Identification No. of Above Individual(optional): ###-##-#### - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- Number of 5 Sole Voting Power Shares 453,437 ----------------------------------------------------- Beneficially 6 Shared Voting Power 0 Owned by ----------------------------------------------------- 7 Sole Dispositive Power Each 453,437 ----------------------------------------------------- Reporting 8 Shared Dispositive Power Person With 0 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 453,437 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] (see footnote * below) - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 9.85% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- * Mike Brooks expressly disclaims beneficial ownership of 360 shares held by his spouse. CUSIP No. 774830 10 3 Page 3 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) Name of Person Filing: Mike Brooks (b) Address of Principal Business Office, or, if none, Residence: Rocky Shoes & Boots, Inc. 39 East Canal Street Nelsonville, Ohio 45764 (c) Citizenship: The person filing is a citizen of the United States of America. (d) Title of Class of Securities: Common Stock, without par value. (e) CUSIP Number: 774830 10 3 ITEM 3. Not applicable. ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 453,437 shares (b) Percent of Class: 9.85% (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote: 453,437 shares (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or to direct the disposition of: 453,437 shares (iv) Shared power to dispose or to direct the disposition of: 0 shares CUSIP No. 774830 10 3 Page 4 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. CUSIP No. 774830 10 3 Page 5 SIGNATURES 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. Dated: February 11, 2003 /s/ Mike Brooks ---------------------------- --------------------------------- Mike Brooks -----END PRIVACY-ENHANCED MESSAGE-----