United States

Securities and Exchange Commission

Washington, D.C. 20549

 

FORM 10-K/A

(Amendment No. 1)

(Mark One)

xANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2012

OR

oTRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Commission File Number: 001-34382

 

ROCKY BRANDS, INC.

(Exact name of Registrant as specified in its charter)

 

Ohio No. 31-1364046
(State or other jurisdiction of (I.R.S. Employer Identification No.)
incorporation or organization)  

 

39 East Canal Street

Nelsonville, Ohio 45764

(Address of principal executive offices, including zip code)

 

(740) 753-1951

(Registrant's telephone number, including area code)

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Name of each exchange on which registered
Common Shares, without par value The NASDAQ Stock Market, Inc.

 

Securities registered pursuant to Section 12(g) of the Act: None

 

Indicate by check mark if the registrant is a well-known seasoned issuer (as defined in Rule 405 of the Securities Act). Yes £  No S

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes £  No S

 

Indicate by checkmark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to the filing requirements for at least the past 90 days. YES x NO o

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). YES x NO o

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. ¨

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer (as defined in Exchange Act Rule 12b-2). (Check one):

Large accelerated filer ¨ Accelerated filer S Non-accelerated filer £ Smaller reporting company £
(Do not check if a smaller reporting company)

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes £  No S

 

The aggregate market value of the Registrant's Common Stock held by non-affiliates of the Registrant was approximately $89,559,203 on June 30, 2012.

 

There were 7,516,448 shares of the Registrant's Common Stock outstanding on February 24, 2013.

 

DOCUMENTS INCORPORATED BY REFERENCE

Portions of the Registrant's Proxy Statement for the 2013 Annual Meeting of Shareholders are incorporated by reference in Part III.

 

 
 

 

Explanatory Note

 

The purpose of this Amendment No. 1 to Rocky Brands, Inc.’s Annual Report on Form 10-K for the year ended December 31, 2012, filed with the Securities and Exchange Commission on March 4, 2013 (the “Form 10-K”), is solely to furnish an updated Exhibit 23 to incorporate the electronic signature and to furnish an Exhibit 24 to the Form 10-K consisting of the powers of attorney.

 

This Amendment No. 1 does not otherwise change or update the disclosures set forth in the Form 10-K as originally filed and does not otherwise reflect events occurring after the original filing of the Form 10-K.

 

 

ITEM 6 - EXHIBITS

 

  EXHIBIT EXHIBIT
  NUMBER DESCRIPTION
     
  23 Independent Registered Public Accounting Firm’s Consent of Schneider Downs & Co., Inc.
     
  24 Powers of Attorney.
     
  31.1 Rule 13a-14(a) Certification of Principal Executive Officer.
     
  31.2 Rule 13a-14(a) Certification of Principal Financial Officer.

 

___________________

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

 

  Rocky Brands, Inc.
   
Date: March 5, 2013 By:  /s/ James E. McDonald
    James E. McDonald, Executive Vice President and
Chief Financial Officer*

 

*In his capacity as Executive Vice President and Chief Financial Officer, Mr. McDonald is duly authorized to sign this report on behalf of the Registrant.