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