[144] Rocky Brands, Inc. SEC Filing

Rhea-AI Filing Summary

Rocky Brands, Inc. (RCKY) filed a Form 144 notice indicating a proposed sale of 5,000 common shares through Fidelity Brokerage Services LLC on the NASDAQ, with an approximate aggregate market value of $150,650. The shares represent part of the issuer's outstanding common stock of 7,468,341 shares. The 5,000 shares were acquired on 08/28/2025 by exercise of stock options from the issuer and are marked as compensation; the planned sale date is 08/29/2025. The filer reports no sales of the issuer's securities by the same person in the past three months and affirms they are not aware of undisclosed material adverse information about the issuer.

Positive

• Full procedural details provided: broker, acquisition date, sale date, share count, and aggregate value are all disclosed
• No other sales in past three months, simplifying aggregation under Rule 144

Negative

• None.

Insights

Securities Compliance Analyst

TL;DR: Routine Form 144 filing for insider exercise and near-immediate sale; procedural disclosure, not a standalone material event.

The filing documents a common scenario where options were exercised on 08/28/2025 and the resulting 5,000 shares (market value $150,650) are to be sold the next day on NASDAQ via Fidelity. This is a disclosure required when restricted or control securities are proposed for sale under Rule 144. Key compliance items are present: broker identification, share count, acquisition details, and the filers representation about material adverse information. There is no information here about broader company performance, additional planned sales, or trading plans beyond the stated transaction.

Corporate Governance Specialist

TL;DR: Governance disclosure appears complete for a single insider sale; no material governance issues disclosed.

The Form 144 shows the securities were acquired via option exercise and designated as compensation, with payment on the acquisition date. The absence of other sales in the past three months simplifies aggregation requirements. From a governance perspective, the form meets routine disclosure expectations for insider sales under Rule 144; the filer also attests to lack of undisclosed material adverse information, as required. The filing does not include any indications of unusual trading patterns or governance concerns.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Fidelity Brokerage Services LLC 245 Summer Street Boston MA 02110	5000	150650.00	7468341	08/29/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/28/2025	Stock Options Exercise	Issuer			5000	08/28/2025	Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Rocky Brands (RCKY) disclose in this Form 144?

The filing discloses a proposed sale of 5,000 common shares acquired by stock option exercise on 08/28/2025, to be sold on 08/29/2025 through Fidelity, with an aggregate market value of $150,650.

Who is handling the sale of RCKY shares?

The sale is to be executed by Fidelity Brokerage Services LLC, 245 Summer Street, Boston, MA on the NASDAQ.

How many RCKY shares are outstanding according to the filing?

The filing reports 7,468,341 shares outstanding.

Was the acquisition of the shares a purchase or compensation?

The 5,000 shares were acquired on 08/28/2025 via a stock option exercise and the nature of payment is listed as compensation.

Does the filer report any other sales in the past three months?

No. The filing states Nothing to Report for securities sold during the past three months by the person for whose account the securities are to be sold.