0001437749-23-021904.txt : 20230803 0001437749-23-021904.hdr.sgml : 20230803 20230803154458 ACCESSION NUMBER: 0001437749-23-021904 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230801 FILED AS OF DATE: 20230803 DATE AS OF CHANGE: 20230803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARROYO A ALLEN CENTRAL INDEX KEY: 0001258292 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36865 FILM NUMBER: 231139647 MAIL ADDRESS: STREET 1: C/O ROCKY MOUNTAIN CHOCOLATE FACTORY STREET 2: 265 TURNER DRIVE CITY: DURANGO STATE: CO ZIP: 81303 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Rocky Mountain Chocolate Factory, Inc. CENTRAL INDEX KEY: 0001616262 STANDARD INDUSTRIAL CLASSIFICATION: SUGAR & CONFECTIONERY PRODUCTS [2060] IRS NUMBER: 471535633 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 BUSINESS ADDRESS: STREET 1: 265 TURNER DRIVE CITY: DURANGO STATE: CO ZIP: 80202 BUSINESS PHONE: (970) 259-0554 MAIL ADDRESS: STREET 1: 265 TURNER DRIVE CITY: DURANGO STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: Rocky Mountain Brands, Inc. DATE OF NAME CHANGE: 20140808 4 1 rdgdoc.xml 20230801AAF4 X0508 4 2023-08-01 0001616262 Rocky Mountain Chocolate Factory, Inc. RMCF 0001258292 ARROYO A ALLEN 265 TURNER DRIVE DURANGO CO 81303 1 CFO 0 Common Stock 2023-08-01 4 P 0 500 5.90 A 2515 D Common Stock 2023-08-02 4 P 0 500 5.90 A 3015 D Non-qualified stock option 6.8500 2032-08-10 Common Stock 8476 8476 D Restricted Stock Units Common Stock 39556 39556 D 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. Each restricted stock unit represents a contingent right to receive one share of RMCF common stock. 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. Reported number of shares represents the maximum number of shares that may be issued pursuant to these restricted stock units. /s/ Tracy D. Wojcik, Attorney In Fact 2023-08-03