[144] Rocky Brands, Inc. SEC Filing

Rhea-AI Filing Summary

Rocky Brands insider filing to sell 5,000 shares via UBS on 09/04/2025. The notice reports the proposed sale of 5,000 shares of Common Stock on NASDAQ with an aggregate market value of $149,500. The securities were acquired on 01/04/2021 through a stock option granted by Rocky Brands and the planned payment method is a cashless exercise. The issuer has 7,461,167 shares outstanding. The filer reports no sales of the issuer's securities in the past three months and certifies they are unaware of any undisclosed material information.

Positive

• Complete Rule 144 disclosure including acquisition date, broker, aggregate value, and planned payment method
• No sales in the past three months reported for the selling person, simplifying aggregation calculations

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine Rule 144 notice for a small insider sale, documenting acquisition and planned cashless exercise.

The filing discloses a proposed sale of 5,000 shares valued at $149,500, executed through UBS on NASDAQ and originating from a stock option granted in 2021. This is a procedural disclosure under Rule 144: it records the acquisition date, nature (stock option), and planned cashless exercise, and confirms no sales in the prior three months. For investors, the filing provides transparency about insider liquidity but contains no operational or financial performance data.

Corporate Governance Expert

TL;DR: Governance disclosure appears complete and conforms with Rule 144 reporting requirements.

The notice includes required elements: acquisition date, nature of acquisition, broker details, aggregate value, outstanding shares, and a representation about material nonpublic information. The filer also affirms no recent sales to aggregate. From a governance perspective, the filing meets disclosure expectations and signals procedural compliance rather than a governance concern.

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 Stock	UBS Financial Services Inc 1000 Harbor Blvd 3rd Floor Weehawken NJ 07086	5000	149500	7461167	09/04/2025	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 Stock	01/04/2021	Stock Option	Rocky Brands			5000	09/04/2025	Cashless Exercise

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

The filing discloses a proposed sale of 5,000 shares of Common Stock through UBS Financial Services on 09/04/2025 on NASDAQ, with an aggregate market value of $149,500.

How and when were the shares being sold originally acquired?

The shares were acquired on 01/04/2021 via a stock option from Rocky Brands.

What payment method is indicated for the sale?

The filing indicates a cashless exercise as the nature of payment for the transaction.

How many shares outstanding does the filing report for Rocky Brands?

The filing reports 7,461,167 shares outstanding.

Does the filer report any sales of Rocky Brands securities in the past three months?

The filing states: Nothing to Report for securities sold during the past three months by the selling person.