Initial Statement of Beneficial Ownership (3)
2022年11月23日 - 6:01AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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GLOBAL VALUE INVESTMENT CORP. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/14/2022
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3. Issuer Name and Ticker or Trading Symbol
Rocky Mountain Chocolate Factory, Inc. [RMCF]
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(Last)
(First)
(Middle)
1433 N. WATER STREET, SUITE 400 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
MILWAUKEE, WI 53202
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 623803 | I (1)(2) | See footnotes |
Common Stock | 1000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | In addition to Global Value Investment Corp, a Delaware corporation ("GVIC"), this Form 3 is being filed jointly by GVP 2021-A, L.P., a Delaware limited partnership, GVP 2021-A, L.L.C., a Delaware limited liability company, Jeffrey R. Geygan, a citizen of the United States of America, James P. Geygan, a citizen of the United States of America, Stacy A. Wilke, a citizen of the United States of America, and Kathleen M. Geygan, a citizen of the United States of America, each of whom has the same business address as GVIC. GVIC beneficially owns the shares of common stock, par value $0.01 per share ("Common Stock"), of Rocky Mountain Chocolate Factory, Inc. reported on this Form 3. |
(2) | In accordance with Instruction 5(b)(iv), the entire amount of Common Stock held by GVIC is reported herein. Common Stock reported as indirectly owned by GVIC includes shares owned by GVP 2021-A, L.P., GVP 2021-A, L.L.C., Jeffrey R. Geygan, James P. Geygan, Stacy A. Wilke, and Kathleen M. Geygan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GLOBAL VALUE INVESTMENT CORP. 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
| X |
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GEYGAN JEFFREY RICHART 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 | X |
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| Director and Officer of GVIC |
GEYGAN JAMES 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
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| Officer of GVIC |
Wilke Stacy 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
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| Officer of GVIC |
Geygan Kathleen 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
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| Director of GVIC |
GVP 2021-A, L.P. 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
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| GVIC-Controlled Entity |
GVP 2021-A, LLC 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
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| GVIC-Controlled Entity |
Signatures
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James P. Geygan, Chief Operating Officer | | 11/22/2022 |
**Signature of Reporting Person | Date |
Jeffrey R. Geygan | | 11/22/2022 |
**Signature of Reporting Person | Date |
James P. Geygan | | 11/22/2022 |
**Signature of Reporting Person | Date |
Stacy A. Wilke | | 11/22/2022 |
**Signature of Reporting Person | Date |
Kathleen M. Geygan | | 11/22/2022 |
**Signature of Reporting Person | Date |
GVP 2021-A, L.P. by GVP 2021-A, L.L.C., by Global Value Investment Corp., by Jeffrey R. Geygan, Chief Executive Officer | | 11/22/2022 |
**Signature of Reporting Person | Date |
GVP 2021-A, L.L.C. by Global Value Investment Corp., by Jeffrey R. Geygan, Chief Executive Officer | | 11/22/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Rocky Mountain Chocolate... (NASDAQ:RMCF)
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Rocky Mountain Chocolate... (NASDAQ:RMCF)
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から 7 2023 まで 7 2024