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Third Quarter Fiscal 2008 Financial Results
Tuesday, October 28, 2008
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FILINGS SINCE MOST RECENT PROXY
|
Date |
Type |
Name of
Reporting Person |
Aggregate Amount
Beneficially Owned |
Percent of Class |
|
02/14/08
|
13G/A
|
|
--
|
--
|
02/14/08 |
13G/A |
|
377,832 |
6.8% |
02/13/08 |
13G/A |
|
-- |
-- |
02/06/08 |
13G |
|
427,939 |
7.8% |
01/08/08 |
13G |
|
221,847 |
4.04% |
|
07/06/07 |
13G/A |
|
310,716 |
5.7% |
|
07/06/07 |
13G |
|
310,716 |
5.7% |
Ownership
Of Common Stock By Management
The following table sets forth information regarding beneficial ownership of the Company’s common stock by each nominee for director, each director, each of the Company’s executive officers named in the Summary Compensation Table, and the directors and executive officers of the Company as a group as of February 28, 2007:
| Name |
Number of Shares Beneficially Owned (1) |
|
| Mike Brooks |
|
6.8% |
| J. Patrick Campbell |
|
* |
| Glenn E. Corlett |
|
* |
| Michael L. Finn |
|
* |
| G. Courtney Haning |
|
* |
| Curtis A. Loveland |
|
1.6% |
| James E. McDonald |
|
1.1% |
| Thomas R. Morrison |
|
* |
| Harley E. Rouda, Jr. |
|
* |
| David Sharp |
|
1.2% |
| James L. Stewart |
|
* |
| All Directors and Executive Officers as a Group
(11 persons) |
|
12.4% |
*indicates less than 1%
(1) Beneficial ownership is determined in accordance with the rules of the Securities and Exchange Commission which generally attribute beneficial ownership of securities to persons who possess sole or shared voting power and/or investment power with respect to those securities. Except as otherwise noted, none of the named individuals shares with another person either voting or investment power as to the shares reported. “ Percent of Class” is calculated by dividing the number of shares beneficially owned by the total number of outstanding shares of the Company on February 28, 2007, plus the number of shares such person has the right to acquire within 60 days of February 28, 2007.
(2) Includes 57,250 shares of common stock for Mr. Brooks, 10,000 shares of common stock for Mr. Campbell, 22,500 shares of common stock for Mr. Corlett, 10,000 shares of common stock for Mr. Finn, 10,000 shares of common stock for Mr. Haning, 25,000 shares of common stock for Mr. Loveland, 40,000 shares of common stock for Mr. McDonald, 10,250 shares of common stock for Mr. Morrison, 15,000 shares of common stock for Mr. Rouda, 32,000 shares of common stock for Mr. Sharp, 15,000 shares of common stock for Mr. Stewart, and 247,000 shares of common stock for all directors and executive officers as a group, which could be acquired under stock options exercisable within 60 days of February 28, 2007.
Ownership Of Common Stock By Principal Shareholders
The following table sets forth information relating to the beneficial ownership of common stock by each person known by the Company to own beneficially more than 5% of the outstanding shares of common stock:
| Name Of Beneficial Owner |
Number Of Shares Of Common Stock Beneficially Owned (1) |
|
Mike Brooks
C/O Rocky Brands, Inc.
39 East Canal Street
Nelsonville, Ohio 45764 |
|
6.8% |
FMR Corp.
82 Devonshire Street
Boston, Massachusetts 02109 |
|
10.0% |
Lotsoff Capital Management
20 North Clark Street, 34 th Floor
Chicago, Illinois 60602 |
|
8.5% |
WS Capital, L.L.C.
300 Crescent Court, Suite 1111
Dallas, Texas 75201
|
|
6.8% |
(1) Beneficial ownership is determined in accordance with the rules of the Securities and Exchange Commission which generally attribute beneficial ownership of securities to persons who possess sole or shared voting power and/or investment power with respect to those securities.
“ Percent of Class” is calculated by dividing the number of shares beneficially owned by the total number of outstanding shares of the Company on February 28, 2007, plus the number of shares such person has the right to acquire within 60 days of February 28, 2007.
(3) Includes 57,250 shares of common stock for Mike Brooks which could be acquired under stock options exercisable within 60 days of February 28, 2007.
(4) Based on information filed on Schedule 13G with the Securities and Exchange Commission on February 14, 2007 by FMR Corp. (“ FMR”), Edward C. Johnson 3d, Fidelity Management & Research Company (“Fidelity”) and Fidelity Low Priced Stock Fund (“ Fidelity Fund”). Fidelity is a wholly owned subsidiary of FMR and acts as an investment adviser to various investment companies including the Fidelity Fund. Mr. Johnson, along with other members of the Johnson family, through their ownership of Class B voting common stock and the execution of a shareholders’ voting agreement, are deemed to be a controlling group under the Investment Company Act of 1940 with respect to FMR.
(5) Based on information filed on Schedule 13G with the Securities and Exchange Commission on January 19, 2007.
(6) Based on information filed on Schedule 13G with the Securities and Exchange Commission on February 13, 2007 by (i) WS Capital, L.L.C. (“WS Capital”), for the account of (1) Walker Smith Capital, L.P. (“WSC”), (2) Walker Smith Capital (Q.P.), L.P. (“WSCQP”), (3) Walker Smith International Fund, Ltd. (“WS International”), and (4) HHMI Investments, L.P. (“HHMI” ) and (ii) WSV Management, L.L.C. (“WSV”), for the account of (1) WS Opportunity Fund L.P. (“WSO”), (2) WS Opportunity Fund (Q.P.), L.P. (“WSOQP”), and (3) WS Opportunity Fund International, Ltd. (“WSO International”). WS Capital is the general partner of WS Capital Management, L.P. (“WSC Management”), which is the general partner of WSC and WSCQP and the investment manager for WS International and HHMI. WSV is the general partner of WS Ventures Management, L.P. (“WSVM”), which is the general partner of WSO and WSOQP and the agent and attorney-in-fact for WSO International. Reid S. Walker and G. Stacy Smith are principals of WS Capital and WSV, and Patrick P. Walker is a principal of WSV.
Site Last Updated November 5, 2008.
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