[144] Rocky Brands, Inc. SEC Filing

Rhea-AI Filing Summary

On 2025-08-01, Rocky Brands, Inc. (RCKY) filed a Form 144 giving notice of an insider’s intent to sell 5,000 common shares through broker Edward Jones on Nasdaq. The proposed sale is valued at $125,750 and represents only ≈0.07 % of the company’s 7,461,167 shares outstanding. The shares were originally acquired on 2021-01-04 via an employee stock-option exercise; no non-cash consideration or installment payments are disclosed. The filer reports no other sales in the prior three months and provides no additional remarks. While Form 144 is merely a notice—not a guarantee—that a trade will occur, it enables investors to track forthcoming insider activity.

• Shares to be sold: 5,000 common
• Aggregate value: $125,750
• Approx. sale date: 01 Aug 2025
• Broker: Edward Jones
• Acquisition source: option exercise on 04 Jan 2021

Positive

• Sale represents only ≈0.07 % of total shares, implying negligible market impact.
• Filing demonstrates regulatory compliance and transparency under Rule 144.

Negative

• Form 144 signals insider intent to sell, which some investors may view cautiously.
• Shares stem from an option exercise, indicating potential profit-taking rather than long-term holding.

Insights

Securities Analyst

TL;DR: Minor insider sale; volume is immaterial and unlikely to pressure RCKY shares.

The Form 144 covers 5,000 shares worth about $126k—roughly 0.07 % of outstanding stock. Such a small fraction rarely affects liquidity or price, especially for a company with over 7.4 million shares. No pattern of recent selling is disclosed, and the shares came from a 2021 option exercise, a common liquidity event for employees. Absent additional context (e.g., concurrent large insider sales, negative guidance), the filing is neutral from a valuation standpoint.

Corporate Governance Expert

TL;DR: Routine compliance filing; indicates transparency rather than corporate concern.

Form 144 filings show management’s adherence to disclosure rules when disposing of restricted or control stock. The notice lists the broker, quantity, and timing, fulfilling Rule 144 requirements. Because the document states the insider possesses no undisclosed adverse information, governance risk is minimal. The lack of other recent sales suggests no aggregation issues under Rule 144(e). Overall, this is standard administrative activity with no material governance red flags.

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	Edward Jones 201 Progress Parkway Maryland Heights MO 63043	5000	125750.00	7461167	08/01/2025	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	01/04/2021	EX STK OPTN	Rocky Brands			5000	01/04/2021	N/A

* 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

How many RCKY shares are covered by the Form 144 notice?

The filing covers 5,000 common shares.

What is the aggregate market value of the planned sale?

The shares are valued at $125,750 based on current market pricing.

When is the insider planning to sell the shares?

The approximate sale date listed is August 1, 2025.

What percentage of Rocky Brands' outstanding shares does 5,000 represent?

It represents roughly 0.07 % of the 7,461,167 shares outstanding.

How were the shares originally acquired?

They were obtained on January 4, 2021 via an employee stock-option exercise.

Which broker is handling the transaction?

The form names Edward Jones, Maryland Heights, MO as the broker.