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  4. [Form 4] ROCKY BRANDS, INC. Insider Trading Activity

Rocky Brands (RCKY) director awarded 503 shares in new stock grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Smith Dwight Eric reported acquisition or exercise transactions in this Form 4 filing.

ROCKY BRANDS, INC. director Dwight Eric Smith reported receiving a grant of 503 shares of common stock on April 1, 2026. The shares were awarded at a reported price of $0.00 per share as part of non-cash compensation. Following this grant, he directly holds 15,374 shares of Rocky Brands common stock. This filing reflects a routine equity award rather than an open-market purchase or sale.

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Negative

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Insider Smith Dwight Eric
Role Director
Type Security Shares Price Value
Grant/Award Common Stock, without par value 503 $0.00 --
Holdings After Transaction: Common Stock, without par value — 15,374 shares (Direct)
Footnotes (1)
Shares granted 503 shares Equity award on April 1, 2026
Grant price $0.00 per share Reported value for the stock grant
Total holdings after grant 15,374 shares Director’s direct holdings following transaction
Transaction code A Grant, award, or other acquisition
Transaction direction acquire Non-derivative acquisition of common stock
Form 4 regulatory
"The Form 4 for ROCKY BRANDS, INC. shows no insider selling activity."
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
Grant, award, or other acquisition financial
"The Form 4 uses code “A” for a grant, award, or other acquisition"
transaction code "A" regulatory
"It reports one acquisition transaction coded “A” for a grant, award, or other acquisition"
equity compensation financial
"indicating a non-cash equity grant typically associated with director compensation"
Equity compensation is pay given to employees, executives or contractors in the form of company ownership—such as stock, stock options or restricted shares—rather than just cash. It matters to investors because it can align workers' incentives with shareholders (like paying someone in slices of the same pie they help grow), but it also increases the number of shares outstanding and company expenses, affecting ownership percentages and earnings per share.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Smith Dwight Eric
(Last)(First)(Middle)
39 EAST CANAL STREET
(Street)
NELSONVILLE OHIO 45764
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ROCKY BRANDS, INC. [ RCKY ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction 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)
CodeVAmount(A) or (D)Price
Common Stock, without par value04/01/2026A503A$0.000015,374D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction 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 (Month/Day/Year)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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
Jeremy D. Siegfried, Attorney-in-Fact04/03/2026
** Signature of Reporting PersonDate
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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did RCKY director Dwight Eric Smith report?

Director Dwight Eric Smith reported receiving a grant of 503 shares of ROCKY BRANDS, INC. common stock. The award was recorded at $0.00 per share, indicating a non-cash equity grant typically associated with director compensation rather than an open-market transaction.

Is the April 1, 2026 RCKY insider transaction a purchase or a grant?

The April 1, 2026 transaction for ROCKY BRANDS, INC. was a share grant, not an open-market purchase. The Form 4 uses code “A” for a grant, award, or other acquisition, and the reported price is $0.00 per share, consistent with equity compensation.

How many RCKY shares does Dwight Eric Smith hold after this Form 4 grant?

After receiving the 503-share grant, director Dwight Eric Smith directly holds 15,374 shares of ROCKY BRANDS, INC. common stock. This total reflects his position immediately following the reported transaction and helps indicate that the grant is relatively small compared to his overall holdings.

Does the RCKY Form 4 show any insider selling activity?

The Form 4 for ROCKY BRANDS, INC. shows no insider selling activity. It reports one acquisition transaction coded “A” for a grant, award, or other acquisition, with zero sell transactions and neutral net buy/sell direction in the summarized transaction data.

Was the RCKY share grant to Dwight Eric Smith a cash transaction?

The share grant to Dwight Eric Smith was not a cash transaction. The filing reports 503 shares of common stock acquired at a price of $0.00 per share, indicating this was a stock-based compensation award rather than a purchase involving cash outlay.