Statement of Changes in Beneficial Ownership (4)
2023年1月5日 - 6:05AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
GLOBAL VALUE INVESTMENT CORP. |
2. Issuer Name and Ticker or Trading Symbol
Rocky Mountain Chocolate Factory, Inc.
[
RMCF
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
1433 N. WATER STREET, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/30/2022 |
(Street)
MILWAUKEE, WI 53202
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 12/30/2022 | | J | | 6840 (1) | A | $0.00 | 630643 (2)(3) | I | See footnotes |
Common Stock | | | | | | | | 1000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Represents a common stock grant to Jeffrey R. Geygan in his capacity as a non-employee director of the issuer pursuant to the issuer's board of directors compensation program. Shares awarded vest 25% on the grant date and 25% quarterly thereafter on each of February 28, 2023, May 31, 2023, and August 31, 2023. |
(2) | In addition to Global Value Investment Corp, a Delaware corporation ("GVIC"), this Form 4 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 4. |
(3) | 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
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GLOBAL VALUE INVESTMENT CORP. 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
| X |
|
|
GEYGAN JEFFREY RICHART 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 | X |
|
| Director and Officer of GVIC |
GEYGAN JAMES 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
|
|
| Officer of GVIC |
Geygan Kathleen 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
|
|
| Director of GVIC |
GVP 2021-A, L.P. 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
|
|
| GVIC-Controlled Entity |
GVP 2021-A, LLC 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
|
|
| GVIC-Controlled Entity |
Wilke Stacy 1433 N. WATER STREET SUITE 400 MILWAUKEE, WI 53202 |
|
|
| Officer of GVIC |
Signatures
|
James P. Geygan, Chief Operating Offficer | | 1/4/2023 |
**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 4(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)
過去 株価チャート
から 6 2024 まで 7 2024
Rocky Mountain Chocolate... (NASDAQ:RMCF)
過去 株価チャート
から 7 2023 まで 7 2024