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Rocky Mountain Chocolate Factory, Inc. 
 CO
  SEC # 1616262

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671  SEC Filings
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  from  11/10/14  to  3/28/24  (Yesterday)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘8-K’ — Current Report — Form 8-K — for 3/25/24 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  Rocky Mountain Chocolate Factory, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  280 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/28/24 New Document this Past Month!8-KUpdate:  Current Reports — Form 8-K  New Document this Past Month!  — Press Releases
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& Conference Calls
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 — Financial Reports
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133

8-K Items: 
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1/26/24
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01 — ‘EX-10’
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18
11/3/22 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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2
1/11/24
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  Financial Info: 
Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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36
10/3/23"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ‘EX-10’
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8
11/15/18 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 2
12/23/19 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD 1
2/2/22 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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3
10/20/23
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01 — ‘EX-16’
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3
3/28/24 New Document this Past Month!
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  New Document this Past Month!  — ‘EX-17’
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 — List of Directors & Officers
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26
9/12/23"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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3
8/24/23"Submission of Matters to a Vote of Security Holders — Item 5.0710
5/19/22 OLD"Shareholder Nominations Pursuant to Exchange Act Rule 14a-11 — Item 5.08  OLD  — ‘EX-17’
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4
11/16/23
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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34
1/29/24
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  Events: 
Other Events — Item 8.0117
3/28/24 New Document this Past Month!
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  Financials: 
Financial Statements and Exhibits — Item 9.01  New Document this Past Month!  — Financial Reports
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100

1/16/2410-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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27
8/16/2311-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K9
7/19/23DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A58
6/28/23ARSUpdate:  Annual Report to Security Holders1
6/28/23DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A7
5/30/2310-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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13
7/5/22 OLDDEFC14AProxy:  Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD 2
6/24/22 OLDPREC14AProxy:  Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD 2
2/2/22 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 2
10/5/21 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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5
10/15/20 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 2
7/15/20 OLDNT 10-QUpdate:  Notice of a Late Filing of a Form 10-Q Quarterly Report — Form 12b-25  OLD 1
3/3/15 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 2
3/2/15 OLD8-K12G3Registration:  Notice of Securities Deemed to be Registered by a Successor Issuer — Form 8-K  OLD 1
2/17/15 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 2
1/9/15 OLDEFFECTSEC:  SEC Notice of Effectiveness  OLD 1
1/5/15 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 4
11/18/14 OLDNO ACTSEC:  SEC No-Action Letters re: Shareholder Proposals  OLD 5
11/10/14 OLD425Registration:  Prospectus or Communication – Merger  OLD 1

Letters: 
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2/18/20 OLDREDACTED EXHIBITSEC Staff Letters – Redacted Exhibits  OLD  — All Correspondence with the SEC2

General Exhibits: 
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3/28/24 New Exhibit this Past Month!EX-10Material Contracts  New Exhibit this Past Month! 36
9/12/23EX-3Articles of Incorporation/Organization and Bylaws6
8/16/23EX-23Consents of Experts and Counsel31
5/30/23EX-4Instruments, Including Indentures, Defining the Rights of Security Holders5
5/30/23EX-21Subsidiaries Lists9
5/4/23EX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions3
12/14/22 OLDEX-17Correspondence re: Departures of Directors  OLD 3
10/15/20 OLDEX-5Opinions of Counsel re: Legality  OLD 5
11/10/14 OLDEX-8Opinion of Counsel re: Tax Matters  OLD 1

Additional Exhibits: 
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1/29/24EX-99Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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90

Financials: 
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3/28/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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2,507
3/28/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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90
3/28/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 420
3/28/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 62
3/28/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
89
1/16/24EX-31Certifications — §302 – SOA’0265
1/16/24EX-32Certifications — §906 – SOA’0255
10/20/23EX-16Letters re: Changes in Accountants4

Graphics: 
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3/28/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 596


Forms
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, Documents
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& Exhibits
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 in  395 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIPs 77467X and 21075N
 

        
Latest Filing  Type    Category    Description        Documents
     
3/20/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 244
2/26/24SC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D42
2/13/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G28
12/14/233Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 329
8/16/22 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD 32
7/14/22 OLDDEFC14AProxy:  Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD 5
7/11/22 OLDPRRN14AProxy:  Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations — Schedule 14A  OLD 2
7/5/22 OLDPREC14AProxy:  Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD 5
5/13/22 OLDSC 14NProxy:  Info from a Nominating Shareholder — Schedule 14N  OLD 1
9/24/21 OLDDFRN14AProxy:  Definitive Revised Non-Management Proxy Statement — Schedule 14A  OLD 1

Letters: 
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7/8/22 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC9
7/8/22 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 6

General Exhibits: 
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9/19/23EX-24Powers of Attorney17
8/5/22 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 3

Additional Exhibits: 
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12/16/22 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 37

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8/8/22 OLDGRAPHICPhotos, Images and Graphs  OLD 270


        

Filings History

Year    # of Filings
In descending order
2024 21
2023 101
2022 116
2021 132
2020 45
2019 50
2018 38
2017 50
2016 50
2015 53
2014 15

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