0001437749-23-021682.txt : 20230802 0001437749-23-021682.hdr.sgml : 20230802 20230802173356 ACCESSION NUMBER: 0001437749-23-021682 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230731 FILED AS OF DATE: 20230802 DATE AS OF CHANGE: 20230802 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: 231137184 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 20230731RSF4 X0508 4 2023-07-31 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 2023-07-31 4 P 0 400 5.9162 A 6400 D Common Stock 2023-07-31 4 P 0 600 5.885 A 7000 D Non-qualified stock option 6.3800 2032-05-09 Common Stock 27668 27668 D Restricted Stock Units Common Stock 55336 55336 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 2023-08-02