Key facts
- This page summarizes Robert J. Sarlls's Form 4 filing for Rocky Mountain Chocolate Factory, Inc. (RMCF).
- 1 reported transaction and 2 derivative rows are listed below.
- Accepted by SEC: 15 Aug 2023, 17:39.
Robert J. Sarlls - 11 Aug 2023 Form 4 Insider Report for Rocky Mountain Chocolate Factory, Inc. (RMCF)
- Reporting relationship
- Chief Executive Officer, Director
- Issuer ticker
- RMCF
- Reported as of
- 11 Aug 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 15 Aug 2023, 17:39:52 UTC
- Prior SEC filing
- 02 Aug 2023
- Next SEC filing
- 14 Nov 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Tracy D. Wojcik, Attorney In Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Robert J. Sarlls filed Form 4 for Rocky Mountain Chocolate Factory, Inc. (RMCF) on 15 Aug 2023.
Change
- Previous filing in this sequence was filed on 02 Aug 2023.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
RMCF
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +27,130
- Change %
- +388%
- Price
- $0.000000
- Shares after
- 34,130
- Date
- 11 Aug 2023
- Ownership
- Direct
- Footnotes
- F1
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
RMCF
holding
Derivative
Non-qualified stock option
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 27,668
- Date
- 11 Aug 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 27,668
- Exercise price
- $6.38
- Footnotes
- F2
RMCF
holding
Derivative
Restricted Stock Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 55,336
- Date
- 11 Aug 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 55,336
- Exercise price
- Footnotes
- F3, F4, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
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.
Footnote F2
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.
Footnote F3
Each restricted stock unit represents a contingent right to receive one share of RMCF common stock.
Footnote F4
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.
Footnote F5
Reported number of shares represents the maximum number of shares that may be issued pursuant to these restricted stock units.