[144] Rocky Brands, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Rocky Brands, Inc. (RCKY) shows a proposed sale of 2,500 common shares through Fidelity Brokerage Services on NASDAQ with an aggregate market value of $74,425 and the issuer reporting 7,468,341 shares outstanding. The securities listed were acquired as compensation in multiple installments between 2021 and 2024, totaling 2,502 shares based on the acquisition table. The filer reports no sales in the past three months. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information and carries the required signature attestation.

Positive

• Proposed sale disclosed: 2,500 common shares with broker, date, and aggregate value provided
• Acquisition history provided: Table lists dates and that shares were received as compensation between 2021 and 2024 totaling 2,502 shares
• Compliance language included: Standard attestation regarding undisclosed material adverse information and signature warning

Negative

• None.

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 filing: small insider sale via broker, consistent with compensation vesting and disclosure requirements.

This Form 144 documents a planned sale of 2,500 common shares valued at $74,425 on NASDAQ via Fidelity. The acquisition table shows the shares were received as compensation across multiple dates from 2021 to 2024, totaling 2,502 shares, which aligns with the volume indicated for sale. The filing contains the standard attestation about absence of undisclosed material adverse information. For compliance review, the filing appears complete for a Rule 144 notice: broker, number of shares, aggregate value, outstanding shares, and approximate sale date are all provided.

Corporate Governance Specialist

TL;DR: Informational disclosure of insider compensation-based holdings and a small proposed market sale; no material governance issues shown.

The document shows the securities were acquired as compensation rather than as gifts or purchases, which is relevant for Rule 144 eligibility and holding-period considerations. The sale size (2,500 shares) is small relative to the issuer's outstanding shares of 7,468,341, suggesting limited potential market impact. The notice includes the required representation regarding material information and a signature attestation, consistent with governance and disclosure expectations for such a transaction.

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	2500	74425.00	7468341	09/03/2025	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	01/01/2024	Payment for Services rendered	Issuer			303	01/01/2024	compensation
Common	09/16/2024	Payment for services Rendered	Issuer			34	09/16/2024	Compensation
Common	10/01/2024	Payment for services Rendered	Issuer			564	10/01/2024	Compensation
Common	06/14/2024	Payment for services Rendered	Issuer			29	06/14/2024	Compensation
Common	07/01/2022	Payment for services Rendered	Issuer			234	07/01/2022	Compensation
Common	07/01/2024	Payment for services Rendered	Issuer			487	07/01/2024	Compensation
Common	01/03/2024	Payment for services Rendered	Issuer			201	01/03/2024	Compensation
Common	04/01/2022	Payment for services Rendered	Issuer			192	04/01/2022	Compensation
Common	10/01/2021	Payment for services Rendered	Issuer			168	10/01/2021	Compensation
Common	04/01/2021	Payment for services Rendered	Issuer			147	04/01/2021	Compensation
Common	07/01/2021	Payment for services Rendered	Issuer			143	07/01/2021	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 the Form 144 for Rocky Brands (RCKY) report?

The Form 144 reports a proposed sale of 2,500 common shares via Fidelity on NASDAQ with an aggregate market value of $74,425 and 7,468,341 shares outstanding.

When is the approximate sale date listed on the filing?

The filing lists an approximate sale date of 09/03/2025.

How were the shares acquired according to the filing?

The acquisition table shows the shares were received as compensation on multiple dates between 2021 and 2024.

Does the filing report any securities sold in the past three months?

No. The section 'Securities Sold During The Past 3 Months' states: Nothing to Report.

What is the aggregate market value of the proposed sale?

The aggregate market value is listed as $74,425.00.