SC 13D/A 1 z1031241sc13da15.htm AMENDMENT NO. 15

 

 

美國

證券交易委員會

華盛頓特區 20549

 

13D表格

(規則13d-101)

 

依照文件所規定應包含的資訊

根據§ 240.13d-1(a)及其修訂條款 根據文件申報

第240.13d-2(a)條

 

(第15號修正案)*

 

洛基山朱古力工廠公司。
(發行者名稱)
 
普通股,每股面值0.001美元。
(證券類別的標題)
 
77467X101
(CUSIP號碼)
 
全球價值投資公司。
1433 N. Water Street, Suite 400
密爾瓦基,威斯康辛州53202
(262) 478-0640
(接收通知和通信的授權人姓名、地址和電話號碼)
 

2024年10月29日

(需要提交本報告的事件日期)

 

如果申報人先前曾在表格13G上申報過收購此表格13D主題的交易,並且因為條例§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)而提交此表格,請勾選以下方框 o.

 

注意: 以紙本格式提交的時間表應包括簽署的原件和5份副本,包括所有附件。關於必須發送副本的其他各方,請參見§ 240.13d-7。

 

* 本封面頁的其餘部分將填寫有關與主題證券相關的報告人對此表格的初始提交以及包含會改變先前封面頁中提供的披露信息的任何後續修正信息。

 

對於本封面的其餘信息不應被視為根據1934年證券交易法第18條(以下簡稱“該法”)進行的“申報”,也不因該法的該條款而承擔責任,但應受該法的所有其他條款約束(但請參閱註釋)。

 

 

 

 113 
 

 

CUSIP 編號 77467X101 13D 第2頁 共13頁

(1) 报告人的姓名

全球价值投资公司

(2) 如屬團體之一員,請勾選適用方框(見說明)

(a) o (b) o

(3) 限SEC使用

(4) 資金來源(見說明)所有基金類型

WC, OO

(5)       選項 若根據項目2(d)或2(e)規定需要披露法律訴訟,請勾選該方框 o

(6)       公民身份 或組織地點

特拉華州

股份數量

各自受益擁有

具有報告義務的人

(7)     獨立 行使投票權
0 股
(8)     共同 行使投票權
1,886,950 股
(9)     獨立 行使處分權
0 股
(10) 持有之 處置權力
1,886,950 股

(11)    每位報告人受益擁有的總額

1,886,950 股

(12)    檢查如果第(11)行的總額不包括某些股份(參見說明) o

(13)    類中所代表的比例由第(11)行的金額表示

24.84%*

(14)    報告人類型(請參閱說明)

IA

* 計算的百分比基於2024年10月10日截至為止由Rocky Mountain Chocolate Factory, Inc.在2024年8月31日財季結束的第10-Q表格中報告的每股面值為0.001美元的7,597,819股普通股。

 

 213 
 

 

CUSIP 編號 77467X101 13D 頁 3 / 共 13 頁

(1) 舉報人 名稱

GVP 2021-A, 有限合夥

(2) 根據指示,勾選正確方框,表示是否為「團體成員」

(a) o (b) o

(3)       SEC 僅供內部使用

(4) 所有基金類型資金來源 (見說明)

WC, OO

(5)       選 中框,如根據項目 2(d) 或 2(e) 需要披露法律訴訟。

(6)       公民身份 或組織地點

特拉華州

股份數量

每個受益人所擁有

具有報告義務的人

(7)     獨立 行使表決權
0 股份
(8)     共同 行使表決權
135,820 股份
(9)     獨立 業權行使權
0 股
(10)     共同 擁有或可行使的投票權力
135,820 股

(11)       每個報告人所擁有的股份總數

135,820股

(12)       檢查 若第(11)行中的總金額不包括某些股份(請參閱說明)

(13)       在第(11)行金額所代表的類別所佔的百分比

1.79%*

(14)       報告人的類型(請參閱說明)

PN

* 計算的百分比基於2024年10月10日截至為止由Rocky Mountain Chocolate Factory, Inc.在2024年8月31日財季結束的第10-Q表格中報告的每股面值為0.001美元的7,597,819股普通股。

 

 313 
 

 

CUSIP 編號77467X101 13D 第4頁,共13頁

(1) 申報人 的姓名

GVP 2021-A, 有限責任公司

(2) 如為組合之一員,請勾選適當方框(見說明)

(a) o (b) o

(3)       SEC 僅供內部使用

(4) 所有基金類型的來源(見說明)

WC, OO

(5)       選中該方框,若根據項目2(d)或2(e)要求披露法律訴訟。

(6)       公民身分 或組織地點

特拉華州

股份數量

各方有利持有

具報告義務人

(7)     獨立 行使投票權
0 股份
(8)     共同 行使投票權
135,820 股份
(9)     獨立 行使處分權
0 股
(10)     擁有的 處分權力
135,820 股

(11)    每位報告人受益擁有的總額

135,820股

(12)    檢查如果第(11)行的總額不包括某些股份(參見說明)

(13)    類中所代表的比例由第(11)行的金額表示

1.79%*

(14)    報告人類型(請參閱說明)

所有板塊

* 計算的百分比基於2024年10月10日截至為止由Rocky Mountain Chocolate Factory, Inc.在2024年8月31日財季結束的第10-Q表格中報告的每股面值為0.001美元的7,597,819股普通股。

 

 413 
 

 

CUSIP 編號77467X101 13D 頁面 13的5

(1) 申報人 的姓名

Jeffrey R. Geygan

(2) 如為組合之一員,請勾選適當方框(見說明)

(a) o (b) o

(3) 限SEC使用

(4) 所有基金類型的來源(見說明)

PF, OO

(5)       選中該方框,若根據項目2(d)或2(e)要求披露法律訴訟。 o

(6)       公民身分 或組織地點

美利堅合眾國

股份數量

各方有利持有

具報告義務人

(7)     獨立 行使投票權
0 股
(8)     共同 行使投票權
1,886,950 股
(9)     獨立 行使處分權
0 股
(10)     擁有的 處分權力

1,886,950 股份

(11)       每個報告人所擁有的股份總數

1,886,950 股

(12)       檢查 若第(11)行中的總金額不包括某些股份(請參閱說明) o

(13)       在第(11)行金額所代表的類別所佔的百分比

24.84%*

(14)       報告人的類型(請參閱說明)

IN

* 計算的百分比基於2024年10月10日截至為止由Rocky Mountain Chocolate Factory, Inc.在2024年8月31日財季結束的第10-Q表格中報告的每股面值為0.001美元的7,597,819股普通股。

 

 513 
 

 

CUSIP 編號77467X101 13D 第6頁,共13頁

(1) 申報人 的姓名

James P. Geygan

(2) 如為組合之一員,請勾選適當方框(見說明)

(a) o (b) o

(3)僅供SEC使用

(4) 所有基金類型的來源(見說明)

PF, OO

(5)       選中該方框,若根據項目2(d)或2(e)要求披露法律訴訟。

(6)       公民身分 或組織地點

美利堅合眾國

股份數量

各方有利持有

具報告義務人

(7)     獨立 行使投票權
0 股
(8)     共同 行使投票權

1,886,950 股份

(9)     獨立 行使處分權
0 股
(10)     擁有的 處分權力

1,886,950 股份

(11)       每個報告人所擁有的股份總數

1,886,950 股

(12)       檢查 若第(11)行中的總金額不包括某些股份(請參閱說明)

(13)       在第(11)行金額所代表的類別所佔的百分比

24.84%*

(14)       報告人的類型(請參閱說明)

IN

 

* 計算的百分比基於2024年10月10日截至為止由Rocky Mountain Chocolate Factory, Inc.在2024年8月31日財季結束的第10-Q表格中報告的每股面值為0.001美元的7,597,819股普通股。

 

 613 
 

 

CUSIP 編號77467X101 13D 第7頁 共13頁

(1) 申報人 的姓名

史泰西·A·威爾克

(2) 如為組合之一員,請勾選適當方框(見說明)

(a) o (b) o

(3) 限SEC使用

(4) 所有基金類型的來源(見說明)

PF

(5)       選中該方框,若根據項目2(d)或2(e)要求披露法律訴訟。 o

(6)       公民身分 或組織地點

美利堅合眾國

股份數量

各方有利持有

具報告義務人

(7)     獨立 行使投票權
0 股
(8)     共同 行使投票權
2,465 股
(9)     獨立 行使處分權
0 股
(10)     擁有的 處分權力
2,465 股

(11)       AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,465 shares

(12)       CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) o

(13)       PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

Less than 1%*

(14)       TYPE OF REPORTING PERSON (see instructions)

IN

* Percentage calculated is based on 7,597,819 shares of common stock, par value $0.001 per share outstanding as of October 10, 2024, as reported in the Form 10-Q for the fiscal quarter ended August 31, 2024, of Rocky Mountain Chocolate Factory, Inc.

 

 Page 7 of 13 
 

 

CUSIP No. 77467X101 13D Page 8 of 13

(1)       NAMES OF REPORTING PERSONS

Kathleen M. Geygan

(2)       CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)

(a) o     (b) o

(3)       SEC USE ONLY

(4)       SOURCE OF FUNDS (see instructions)

PF

(5)       CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o

(6)       CITIZENSHIP OR PLACE OF ORGANIZATION

United States of America

NUMBER OF SHARES

BENEFICIALLY OWNED BY EACH

REPORTING PERSON WITH

(7)     SOLE VOTING POWER
0 shares
(8)     SHARED VOTING POWER

45,108 shares

(9)     SOLE DISPOSITIVE POWER
0 shares
(10)     SHARED DISPOSITIVE POWER

45,108 shares

(11)       AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

45,108 shares

(12)       CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) o

(13)       PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

Less than 1%*

(14)       TYPE OF REPORTING PERSON (see instructions)

IN

* Percentage calculated is based on 7,597,819 shares of common stock, par value $0.001 per share outstanding as of October 10, 2024, as reported in the Form 10-Q for the fiscal quarter ended August 31, 2024, of Rocky Mountain Chocolate Factory, Inc.

 

 Page 8 of 13 
 

 

CUSIP No. 77467X101 13D Page 9 of 13

(1)       NAMES OF REPORTING PERSONS

Shawn G. Rice

(2)       CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)

(a) o     (b) o

(3)        SEC USE ONLY

(4)       SOURCE OF FUNDS (see instructions)

PF

(5)       CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

(6)       CITIZENSHIP OR PLACE OF ORGANIZATION

United States of America

NUMBER OF SHARES

BENEFICIALLY OWNED BY EACH

REPORTING PERSON WITH

(7)     SOLE VOTING POWER
0 shares
(8)     SHARED VOTING POWER
5,325 shares
(9)     SOLE DISPOSITIVE POWER
0 shares
(10)     SHARED DISPOSITIVE POWER
5,325 shares

(11)       AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

5,325 shares

(12)       CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions)

(13)       PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

Less than 1%*

(14)       TYPE OF REPORTING PERSON (see instructions)

IN

* Percentage calculated is based on 7,597,819 shares of common stock, par value $0.001 per share outstanding as of October 10, 2024, as reported in the Form 10-Q for the fiscal quarter ended August 31, 2024, of Rocky Mountain Chocolate Factory, Inc.

 

 Page 9 of 13 
 

 

EXPLANATORY NOTE

 

This Amendment No. 15 (this “Amendment”) amends and supplements the Schedule 13D filed on June 21, 2021, as amended on June 25, 2021, July 27, 2021, August 16, 2021, October 5, 2021, November 4, 2022, July 21, 2023, July 31, 2023, August 7, 2023, November 14, 2023, February 2, 2024, February 26, 2024, June 13, 2024, October 23, 2024, and October 25, 2024 (as amended, the “Schedule 13D”), by the Reporting Persons relating to the Common Stock of the Issuer. Information reported in the Schedule 13D remains in effect except to the extent that it is amended, restated, or superseded by information contained in this Amendment. Capitalized terms used but not defined in this Amendment have the respective meanings set forth in the Schedule 13D.

 

Item 3.Source and Amount of Funds or Other Consideration.

 

Item 3 is amended and restated as follows:

 

All of the shares of Common Stock to which this Statement relates were purchased on behalf of the applicable Reporting Persons using the investment or personal capital of the Reporting Persons. Such shares of Common Stock are or may be held from time to time in margin accounts established with their respective brokers or banks, and a portion of the purchase price for the Common Stock may have been obtained through margin borrowing. Common Stock positions held in margin accounts may be pledged as collateral security for the repayment of debit balances in the margin accounts. The aggregate purchase price of the 1,886,950 shares of Common Stock acquired was approximately $8,338,986.58 (excluding commissions).

 

Item 4. Purpose of Transaction.

 

Item 4 is amended and restated as follows:

 

The Reporting Persons purchased the shares of Common Stock for investment purposes, and such purchases have been made in the ordinary course of business of the Reporting Persons.

 

In pursuing such investment purposes, the Reporting Persons may further purchase, hold, vote, trade, dispose, or otherwise deal in the Common Stock at times, and in such manner, as they deem advisable to benefit from, among other things, (1) changes in the market prices of the shares of Common Stock; (2) changes in the Issuer’s operations, business strategy, or prospects; or (3) from the sale or merger of the Issuer. To evaluate such alternatives, the Reporting Persons will closely monitor the Issuer’s operations, prospects, business development, management, competitive and strategic matters, capital structure, and prevailing market conditions, as well as other economic, securities markets, and investment considerations. Consistent with their investment research methods and evaluation criteria, the Reporting Persons have in the past discussed, and may in the future discuss, such matters with the management or Board of Directors of the Issuer (the “Board”), other stockholders, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, sources of credit, and other investors. Such evaluations and discussions may materially affect, and result in, among other things, the Reporting Persons (1) modifying their ownership of the Common Stock; (2) exchanging information with the Issuer pursuant to appropriate confidentiality or similar agreements; (3) proposing changes in the Issuer’s operations, governance, or capitalization; (4) initiating or pursuing a transaction that would result in the Reporting Persons’ acquisition of all or a controlling interest in the Issuer; or (5) pursuing one or more of the other actions described in subsections (a) through (j) of Item 4 of Schedule 13D.

 

In addition to the information disclosed in this Statement, the Reporting Persons reserve the right to (1) formulate other plans and proposals; (2) take any actions with respect to their investment in the Issuer, including any or all of the actions set forth in subsections (a) through (j) of Item 4 of Schedule 13D; and (3) acquire additional shares of Common Stock or dispose of some or all of the shares of Common Stock beneficially owned by them, in each case in the open market, through privately negotiated transactions, or otherwise.

 

 Page 10 of 13 
 

 

The Reporting Persons believe that change is needed at the Issuer with respect to corporate governance practices and the composition of the Issuer’s board of directors. In support of this belief, the Reporting Persons previously expressed an interest to the issuer in obtaining additional governance rights commensurate with its current ownership. On October 29, 2024, the Reporting Persons held a telephonic meeting with certain directors of the Issuer, sent a letter to the Issuer’s board of directors regarding the foregoing, and requested the resignation of certain directors as well as governance rights commensurate with the Reporting Person’s beneficial ownership of Common Stock. The Reporting Persons and the Issuer have yet to reach an agreement with respect to the foregoing. The Reporting Persons may at any time reconsider and change their plans or proposals relating to the foregoing, including by nominating directors for election at the Issuer’s 2025 annual meeting of stockholders.

 

Item 5.Interest in Securities of the Issuer.

 

Item 5 is amended and restated as follows:

 

(a) and (b)                    The responses of the Reporting Persons to rows 7, 8, 9, 10, 11 and 13 on the cover pages of this Statement are incorporated herein by reference. As of 4:00 p.m., Eastern time, on October 31, 2024, the Reporting Persons beneficially owned 1,866,950 shares of Common Stock, representing approximately 24.84% of the outstanding shares of Common Stock. The percentage in this paragraph relating to beneficial ownership of Common Stock is based on 7,597,819 shares of Common Stock outstanding as of October 10, 2024, as reported in the Form 10-Q for the fiscal quarter ended August 31, 2024, of the Issuer.

Each Reporting Person, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed to be the beneficial owner of the shares of Common Stock directly owned by the other Reporting Persons. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his, her or its pecuniary interest therein.

 

(c)Except as set forth in Schedule A, none of the Reporting Persons has effected any transactions in the Common Stock in the 60 days prior to the date of this Statement.

 

(d)No other person is known to the Reporting Persons to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock covered by this Statement.

 

(e)Not applicable.

 

 Page 11 of 13 
 

 

SIGNATURES

 

After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete, and correct.

 

Dated: October 31, 2024

  GLOBAL VALUE INVESTMENT CORP.
     
     
  By: /s/ James P. Geygan
    Name: James P. Geygan
    Title: Interim Chief Executive Officer
     
 

GVP 2021-A, L.P.

By GVP 2021-A, L.L.C.

By GLOBAL VALUE INVESTMENT CORP.

     
     
  By: /s/ James P. Geygan
    Name: James P. Geygan
    Title: Interim Chief Executive Officer
     
 

GVP 2021-A, L.L.C.

By GLOBAL VALUE INVESTMENT CORP.

     
     
  By: /s/ James P. Geygan
    Name: James P. Geygan
    Title: Interim Chief Executive Officer
     
     
  /s/ Jeffrey R. Geygan
  Jeffrey R. Geygan
     
     
  /s/ James P. Geygan
  James P. Geygan
   
   
  /s/ Stacy A. Wilke
  Stacy A. Wilke
   
     
  /s/ Kathleen M. Geygan
  Kathleen M. Geygan
   
   
  /s/ Shawn G. Rice
 

Shawn G. Rice

 

 Page 12 of 13 
 

 

Schedule A

 

Transactions by the Reporting Persons in the Past 60 Days

 

The following table sets forth all transactions with respect to the Common Stock effected in the last 60 days by or on behalf of the Reporting Persons, inclusive of any transactions effected through 4:00 p.m., Eastern time, on October 31, 2024. Unless otherwise indicated, all such transactions were effected in the open market.

 

 

Person Effecting the
Transaction
  Transaction
Date
  Nature of Transaction   Securities
Transacted
  Price per
Share
GVIC   09/16/2024   Disposal of Common Stock   820   $1.7501(1)
GVIC   10/18/2024   Acquisition of Common Stock   23,045   $2.1383(2)
Mr. James Geygan   10/18/2024   Acquisition of Common Stock   155   $2.1383(2)
Ms. Wilke   10/18/2024   Acquisition of Common Stock   500   $2.1383(2)
GVIC   10/21/2024   Acquisition of Common Stock   7,409   $2.3246(2)
GVIC       Delivery of Common Stock   51,777   N/A(3)
GVIC   10/22/2024   Acquisition of Common Stock   2,000   $2.4157(2)
GVIC   10/23/2024   Acquisition of Common Stock   330,743   $2.6966(2)
GVIC   10/24/2024   Acquisition of Common Stock   161,306   $2.6013(2)
Mr. James Geygan   10/24/2024   Acquisition of Common Stock   940   $2.6013(2)
Mr. Jeffrey Geygan   10/24/2024   Acquisition of Common Stock   11,935   $2.6013(2)
Mr. Rice   10/24/2024   Acquisition of Common Stock   795   $2.6013(2)
Ms. Wilke   10/24/2024   Acquisition of Common Stock   335   $2.6013(2)
GVIC   10/24/2024   Disposal of Common Stock   2,170   $2.5758(1)
Mr. Jeffrey Geygan   10/25/2024   Common Stock Grant(4)   15,877   N/A(5)
GVIC   10/28/2024   Acquisition of Common Stock   6,244   $2.9942(2)
GVIC   10/29/2024   Acquisition of Common Stock   42,063   $2.8871(2)

______________________

(1) On September 16, 2024, and October 24, 2024, the owners of separately managed accounts advised by GVIC directed the sales of Common Stock. Such sales was neither solicited by GVIC nor did GVIC advise such sales.

(2) This purchase price represents the weighted average purchase price of the shares purchased. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Persons will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Statement.

(3) As of October 21, 2024, certain separately managed accounts advised by GVIC received shares of Common Stock previously held in an account that was not advised by, and is not currently advised by, GVIC. As a result of this receipt, GVIC claimed indirect beneficial ownership over such shares of Common Stock as of the date of the receipt. No purchase price is associated with the receipt.

(4) Represents the annual common stock grant to Jeffrey R. Geygan pursuant to the Issuer’s board of directors compensation program for the period November 30, 2023, to August 31, 2024. No purchase price is associated with the grant.

 

 

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