Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKY BRANDS, INC.RCKY · Entity 5833 | EVP, CFO and Treasurer | January 02, 2017 | January 05, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ROCKY BRANDS, INC.
Report date January 02, 2017 · Filed January 05, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, without par valueSEC Table I · non-derivative | Direct | 39,550 |
Ending reported balance
After 2017-01-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-01-02 · Exercise / conversion · Acquired 1,500 · Balance 38,800 Row 2 · 2017-01-04 · Exercise / conversion · Acquired 750 · Balance 39,550 |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2018-01-02 | Direct | 750 |
Reported balance
After 2017-01-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-01-02 · Exercise / conversion · Disposed 750 · Balance 750 F1: Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock. F2: Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2019-01-02 | Direct | 1,500 |
Reported balance
After 2017-01-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-01-02 · Exercise / conversion · Disposed 750 · Balance 1,500 F1: Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock. F2: Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2020-01-04 | Direct | 2,250 |
Reported balance
After 2017-01-04 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-01-04 · Exercise / conversion · Disposed 750 · Balance 2,250 F1: Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock. F2: Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.55 · Expires 2027-01-03 | Direct | 5,000 |
Reported balance
After 2017-01-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-01-03 · Grant · Acquired 5,000 · Balance 5,000 F3: Option vests 20% per year beginning on the first anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock.
F2: Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant.
F3: Option vests 20% per year beginning on the first anniversary of the date of grant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 04, 2017 Filed Jan 5, 2017 16:45 UTC | ROCKY BRANDS, INC. RCKY · Entity 5833 | Exercise / conversionRestricted Stock Unit · Derivative | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000552 · doc4.xml · derivative · entry 6 MCDONALD JAMES E · CIK 0001216612 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,250 Underlying: Common Stock, without par value · 750 shares Expires 2020-01-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock. F2 · derivative.exercise_date: Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant. Read SEC document |
| January 04, 2017 Filed Jan 5, 2017 16:45 UTC | ROCKY BRANDS, INC. RCKY · Entity 5833 | Exercise / conversionCommon Stock, without par value | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000552 · doc4.xml · nonDerivative · entry 2 MCDONALD JAMES E · CIK 0001216612 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,550 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 16:45 UTC | ROCKY BRANDS, INC. RCKY · Entity 5833 | GrantStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0001225208-17-000552 · doc4.xml · derivative · entry 5 MCDONALD JAMES E · CIK 0001216612 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock, without par value · 5,000 shares Expires 2027-01-03 F3 · derivative.exercise_date: Option vests 20% per year beginning on the first anniversary of the date of grant. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 16:45 UTC | ROCKY BRANDS, INC. RCKY · Entity 5833 | Exercise / conversionRestricted Stock Unit · Derivative | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000552 · doc4.xml · derivative · entry 4 MCDONALD JAMES E · CIK 0001216612 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock, without par value · 750 shares Expires 2019-01-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock. F2 · derivative.exercise_date: Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 16:45 UTC | ROCKY BRANDS, INC. RCKY · Entity 5833 | Exercise / conversionRestricted Stock Unit · Derivative | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000552 · doc4.xml · derivative · entry 3 MCDONALD JAMES E · CIK 0001216612 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750 Underlying: Common Stock, without par value · 750 shares Expires 2018-01-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's Common Stock. F2 · derivative.exercise_date: Restricted stock unit vests 25% per year beginning on the first anniversary of the date of grant. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 16:45 UTC | ROCKY BRANDS, INC. RCKY · Entity 5833 | Exercise / conversionCommon Stock, without par value | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000552 · doc4.xml · nonDerivative · entry 1 MCDONALD JAMES E · CIK 0001216612 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,800 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.