Rocky Mountain Chocolate Factory CEO reports holdings

Rocky Mountain Chocolate Factory, Inc. Interim CEO Harper Allen C reported beneficial ownership of the company’s common stock.

Rhea-AI Filing Summary

Rocky Mountain Chocolate Factory, Inc. Interim CEO Harper Allen C reported beneficial ownership of the company’s common stock. The filing lists 810,459 shares of Common Stock held indirectly through American Heritage Railways, Inc., an entity in which Allen Harper has a controlling interest, and 17,120 shares held directly in his own name as of June 30, 2026. No purchases or sales are reported; the Form 3 establishes his initial ownership position as an officer.

Filing Explained

The disclosure establishes Allen Harper’s beneficial ownership position without reporting a company share issuance or sale.

The July 13, 2026 Form 3 is Allen Harper’s initial beneficial-ownership statement for Rocky Mountain Chocolate Factory, tied to the June 30, 2026 event; it identifies him as the interim CEO and a 10% owner.

For existing common holders, the filing changes the disclosed ownership record by identifying Harper’s beneficial position, but it does not report an issuer share issuance or sale.

The ownership mechanics are 17,120 common shares held directly and 810,459 held indirectly; the footnote attributes the indirect shares to Harper’s controlling interest in American Heritage Railways, Inc., and Table II lists no derivative securities.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Harper Allen C

Role Interim CEO

Type	Security	Shares	Price	Value
holding	Common Stock	--	--	--
holding	Common Stock F1	--	--	--

Holdings After Transaction: Common Stock — 17,120 shares (Direct); Common Stock — 810,459 shares (Indirect, See Footnote (1))

Footnotes (1)

1. F1. Shares owned by American Heritage Railways, Inc. Allen Harper has controlling interest in American Heritage Railways, Inc.

Key Figures

Indirect common shares: 810,459 shares Direct common shares: 17,120 shares Total reported common shares: 827,579 shares

3 metrics

Indirect common shares 810,459 shares Common Stock indirectly owned through American Heritage Railways, Inc. as of 2026-06-30

Direct common shares 17,120 shares Common Stock directly owned by Harper Allen C as of 2026-06-30

Total reported common shares 827,579 shares Sum of direct and indirect Common Stock beneficially owned in this Form 3

Key Terms

Common Stock, Interim CEO, controlling interest

3 terms

Common Stock financial

"The filing lists beneficial ownership of the issuer’s Common Stock."

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Interim CEO financial

"Harper Allen C serves as Interim CEO of Rocky Mountain Chocolate Factory."

An interim CEO is a temporary chief executive appointed to lead a company for a short, defined period while the board searches for a permanent leader or handles an unexpected vacancy. Investors watch this role because the interim's decisions and tone can affect day-to-day operations, strategic direction, and market confidence—like a substitute teacher keeping a classroom running until a full-time teacher arrives, the interim can stabilize or shift momentum and influence the stock's outlook.

controlling interest financial

"Allen Harper has controlling interest in American Heritage Railways, Inc."

A controlling interest is when a person or group owns enough shares of a company to influence or make decisions about how it is run. It’s similar to having a majority of votes in a group project, giving you the power to guide decisions. For investors, holding a controlling interest means they can significantly affect the company’s direction and policies.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Harper Allen C disclose in his Form 3 for RMCF?

Harper Allen C disclosed his beneficial ownership of Rocky Mountain Chocolate Factory common stock, including both indirect holdings via an affiliated company and direct shares in his own name, establishing his initial reported position as Interim CEO.

How many RMCF shares does Harper Allen C own indirectly and directly?

He reports 810,459 RMCF common shares indirectly and 17,120 shares directly. The indirect shares are held by American Heritage Railways, Inc., while the direct shares are in his own name as of June 30, 2026.

Which entity holds the indirect RMCF shares for Harper Allen C?

The indirect RMCF shares are held by American Heritage Railways, Inc.. The Form 3 footnote states that this entity owns the shares and that Allen Harper has a controlling interest in American Heritage Railways, Inc.

Does the RMCF Form 3 show any recent buying or selling by Harper Allen C?

No, the Form 3 does not report any purchases or sales. It lists holdings categorized as “holding” entries, indicating an initial statement of beneficial ownership rather than new trading activity in Rocky Mountain Chocolate Factory stock.

What is Harper Allen C’s role at Rocky Mountain Chocolate Factory (RMCF)?

Harper Allen C is identified as the company’s Interim CEO. As an officer, he is required to report his beneficial ownership of Rocky Mountain Chocolate Factory common stock, which he does through this Form 3 filing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 07/13/2026 - 05:22 PM Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Harper Allen C

(Last) (First) (Middle)

479 MAIN AVE

(Street)

DURANGO COLORADO 81301

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
06/30/2026

3. Issuer Name and Ticker or Trading Symbol
Rocky Mountain Chocolate Factory, Inc. [ RMCF ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Interim CEO

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	17,120	D
Common Stock	810,459	I	See Footnote (1)(1)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Shares owned by American Heritage Railways, Inc. Allen Harper has controlling interest in American Heritage Railways, Inc.

	/s/ Allen Harper	07/13/2026
	** Signature of Reporting Person	Date
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 5 (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 3: SEC 1473 (03-26)