# EDGAR Filing Document

**Accession Number:** 0001955705
**File Stem:** 0001209191-23-000831
**Filing Date:** 2023-1
**Character Count:** 15484
**Document Hash:** f34fb7ec2da9bea924a04efc5e25734e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-000831.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001209191-23-000831

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221230

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** GLOBAL VALUE INVESTMENT CORP.
- **CENTRAL INDEX KEY:** 0001569866
- **STATE OF INCORPORATION:** WI
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36865
- **FILM NUMBER:** 23506232

**BUSINESS ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 549
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
- **BUSINESS PHONE:** 262-478-0640

**MAIL ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 549
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202

**FORMER NAME:**
- **FORMER CONFORMED NAME:** MILWAUKEE PRIVATE WEALTH MANAGEMENT, INC.
- **DATE OF NAME CHANGE:** 20130215
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** GEYGAN JAMES
- **CENTRAL INDEX KEY:** 0001734726

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36865
- **FILM NUMBER:** 23506230

**MAIL ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 549
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** GEYGAN JEFFREY RICHART
- **CENTRAL INDEX KEY:** 0001733547

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36865
- **FILM NUMBER:** 23506231

**MAIL ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 549
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202

**FORMER NAME:**
- **FORMER CONFORMED NAME:** GEYGAN JEFFREY RICHART GEYGAN
- **DATE OF NAME CHANGE:** 20180306
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** GVP 2021-A, LLC
- **CENTRAL INDEX KEY:** 0001955706
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36865
- **FILM NUMBER:** 23506227

**BUSINESS ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 400
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
- **BUSINESS PHONE:** 12624780640

**MAIL ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 400
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Wilke Stacy
- **CENTRAL INDEX KEY:** 0001865363

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36865
- **FILM NUMBER:** 23506226

**MAIL ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 549
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Geygan Kathleen
- **CENTRAL INDEX KEY:** 0001865425

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36865
- **FILM NUMBER:** 23506229

**MAIL ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 549
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** GVP 2021-A, L.P.
- **CENTRAL INDEX KEY:** 0001955705
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36865
- **FILM NUMBER:** 23506228

**BUSINESS ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 400
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
- **BUSINESS PHONE:** 2624780640

**MAIL ADDRESS:**
- **STREET 1:** 1433 N WATER STREET
- **STREET 2:** SUITE 400
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Rocky Mountain Chocolate Factory, Inc.
- **CENTRAL INDEX KEY:** 0001616262
- **STANDARD INDUSTRIAL CLASSIFICATION:** SUGAR & CONFECTIONERY PRODUCTS [2060]
- **IRS NUMBER:** 471535633
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0228

**BUSINESS ADDRESS:**
- **STREET 1:** 265 TURNER DRIVE
- **CITY:** DURANGO
- **STATE:** CO
- **ZIP:** 80202
- **BUSINESS PHONE:** (970) 259-0554

**MAIL ADDRESS:**
- **STREET 1:** 265 TURNER DRIVE
- **CITY:** DURANGO
- **STATE:** CO
- **ZIP:** 80202

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Rocky Mountain Brands, Inc.
- **DATE OF NAME CHANGE:** 20140808

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>GLOBAL VALUE INVESTMENT CORP.<br><sub>(Last) (First) (Middle)</sub><br>1433 N. WATER STREET<br>SUITE 400<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rocky Mountain Chocolate Factory, Inc. [ RMCF ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>GEYGAN JEFFREY RICHART<br><sub>(Last) (First) (Middle)</sub><br>1433 N. WATER STREET<br>SUITE 400<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Director and Officer of GVIC_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rocky Mountain Chocolate Factory, Inc. [ RMCF ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>GEYGAN JAMES<br><sub>(Last) (First) (Middle)</sub><br>1433 N. WATER STREET<br>SUITE 400<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Officer of GVIC_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rocky Mountain Chocolate Factory, Inc. [ RMCF ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Geygan Kathleen<br><sub>(Last) (First) (Middle)</sub><br>1433 N. WATER STREET<br>SUITE 400<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Director of GVIC_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rocky Mountain Chocolate Factory, Inc. [ RMCF ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>GVP 2021-A, L.P.<br><sub>(Last) (First) (Middle)</sub><br>1433 N. WATER STREET<br>SUITE 400<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_GVIC-Controlled Entity_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rocky Mountain Chocolate Factory, Inc. [ RMCF ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>GVP 2021-A, LLC<br><sub>(Last) (First) (Middle)</sub><br>1433 N. WATER STREET<br>SUITE 400<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_GVIC-Controlled Entity_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rocky Mountain Chocolate Factory, Inc. [ RMCF ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Wilke Stacy<br><sub>(Last) (First) (Middle)</sub><br>1433 N. WATER STREET<br>SUITE 400<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Officer of GVIC_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rocky Mountain Chocolate Factory, Inc. [ RMCF ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2022-12-30 |  | J |  | 6840<sup>(1)</sup> | A | $0.00 | 630643<sup>(2)(3)</sup> | I | See footnotes |
| Common Stock |  |  |  |  |  |  |  | 1000 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Represents a common stock grant to Jeffrey R. Geygan in his capacity as a non-employee director of the issuer pursuant to the issuer's board of directors compensation program. Shares awarded vest 25% on the grant date and 25% quarterly thereafter on each of February 28, 2023, May 31, 2023, and August 31, 2023.

(2) In addition to Global Value Investment Corp, a Delaware corporation ("GVIC"), this Form 4 is being filed jointly by GVP 2021-A, L.P., a Delaware limited partnership, GVP 2021-A, L.L.C., a Delaware limited liability company, Jeffrey R. Geygan, a citizen of the United States of America, James P. Geygan, a citizen of the United States of America, Stacy A. Wilke, a citizen of the United States of America, and Kathleen M. Geygan, a citizen of the United States of America, each of whom has the same business address as GVIC. GVIC beneficially owns the shares of common stock, par value $0.01 per share ("Common Stock"), of Rocky Mountain Chocolate Factory, Inc. reported on this Form 4.

(3) In accordance with Instruction 5(b)(iv), the entire amount of Common Stock held by GVIC is reported herein. Common Stock reported as indirectly owned by GVIC includes shares owned by GVP 2021-A, L.P., GVP 2021-A, L.L.C., Jeffrey R. Geygan, James P. Geygan, Stacy A. Wilke, and Kathleen M. Geygan.

**Signature:** James P. Geygan, Chief Operating Offficer  
**Date:** 2023-01-04

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**