0001437749-23-023872.txt : 20230815 0001437749-23-023872.hdr.sgml : 20230815 20230815173952 ACCESSION NUMBER: 0001437749-23-023872 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230811 FILED AS OF DATE: 20230815 DATE AS OF CHANGE: 20230815 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sarlls Robert J CENTRAL INDEX KEY: 0001465553 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36865 FILM NUMBER: 231175933 MAIL ADDRESS: STREET 1: 1703 N. RANDALL ROAD CITY: ELGIN STATE: IL ZIP: 60123-7820 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 20230811F4RS X0508 4 2023-08-11 0001616262 Rocky Mountain Chocolate Factory, Inc. RMCF 0001465553 Sarlls Robert J 265 TURNER DRIVE DURANGO CO 81303 1 1 Chief Executive Officer 0 Common Stock 2023-08-11 4 A 0 27130 0 A 34130 D Non-qualified stock option 6.3800 2032-05-09 Common Stock 27668 27668 D Restricted Stock Units Common Stock 55336 55336 D Each restricted stock unit represents a contingent right to receive one share of RMCF common stock. The restricted stock units vest in 3 equal installments beginning August 11, 2024, subject to continued service through each applicable vesting date. 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 2023-08-15