Document:

Exhibit 10.31

 

AMENDMENT NO. 4

 

TO

 

LOAN AND SECURITY AGREEMENT

 

AND WAIVER

THIS AMENDMENT NO. 4 AND WAIVER (“Amendment No. 4 and Waiver”) is entered into as of November 8, 2006, by and among ROCKY BRANDS, INC., a corporation organized and existing under the laws of the State of Ohio, LIFESTYLE FOOTWEAR, INC., a corporation organized and existing under the laws of the State of Delaware, EJ FOOTWEAR LLC, a limited liability company organized and existing under the laws of the State of Delaware, HM LEHIGH SAFETY SHOE CO. LLC, a limited liability company organized and existing under the laws of the State of Delaware, GEORGIA BOOT LLC, a limited liability company organized and existing under the laws of the State of Delaware, GEORGIA BOOT PROPERTIES LLC, a limited liability
company organized and existing under the laws of the State of Delaware, DURANGO BOOT COMPANY LLC, a limited liability company organized and existing under the laws of the State of Delaware, NORTHLAKE BOOT COMPANY LLC, a limited liability company organized and existing under the laws of the State of Delaware, LEHIGH SAFETY SHOE CO. LLC, a limited liability company organized and existing under the laws of the State of Delaware, LEHIGH SAFETY SHOE PROPERTIES LLC, a limited liability company organized and existing under the laws of the State of Delaware (the foregoing entities, jointly and severally, “Borrower”), the financial institutions party thereto (each a “Lender” and collectively, the “Lenders”), and GMAC COMMERCIAL FINANCE LLC, as administrative agent and sole lead arranger for the Lenders (in such capacities, the “Agent”).

 

BACKGROUND

 

Borrowers, Agent and Lenders are parties to a Loan and Security Agreement dated as of January 6, 2005 (as amended by Amendment No. 1 to Loan and Security Agreement and Consent dated as of January 19, 2005, Amendment No. 2 to Loan and Security Agreement dated as of April 30, 2006, and Amendment No. 3 to Loan and Security Agreement dated as of June 28, 2006 and as further amended, restated, supplemented or otherwise modified from time to time, the “Loan Agreement”) pursuant to which Agent and Lenders provide Borrowers with certain financial accommodations.

 

Borrower has notified Agent and Lenders that certain Events of Default have occurred which are continuing due to(a) the failure of Borrower to comply with the provisions of Section 5.3(B) of the Loan Agreement as a result of Total Leverage Ratio of Rocky on a Consolidated Basis for the four fiscal quarter accounting period ended September 30, 2006 being 3.89 to 1.00, which exceeds the required Total Leverage Ratio for such period of 3.80 to 1.00, (a) the failure of Borrower to comply with the provisions of Section 5.3(C) of the Loan Agreement as a result of EBITDA of Rocky on a Consolidated Basis for the four fiscal quarter accounting period ended September 30, 2006 being $27,364,514, which is less than the required
EBITDA for such period of $30,000,000 and (c) the failure of Borrower to comply with the provisions of Section 5.3(D) of the Loan Agreement as a result of the Senior Leverage Ratio of Rocky on a Consolidated Basis for the four fiscal quarter accounting period ended September 30, 2006 being 3.34 to 1.00, which exceeds the required Senior Leverage Ratio for such period of 3.30 to 1.00 (the “Designated Defaults”).  Borrower has requested Agent and Lenders to waive the Designated Defaults, and Agent and Lenders are willing to do so on the terms and conditions set forth herein.

 

  

  

  

Borrowers have also requested Lenders to reset certain of the financial covenants, and to amend certain other provisions of the Loan Agreement; Lenders have agreed to effectuate such modifications to the Loan Agreement on the terms and conditions set forth herein;

 

NOW, THEREFORE, in consideration of any loan or advance or grant of credit heretofore or hereafter made to or for the account of Borrowers by Agent and Lenders, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows:

 

1.           Definitions.  All capitalized terms not otherwise defined herein shall have the meanings given to them in the Loan Agreement.

 

2.           Amendment to Loan Agreement.  Subject to satisfaction of the conditions precedent set forth in Section 4 below, the Loan Agreement is amended as follows:

 

(a)           Section 1.1 of the Loan Agreement is amended by inserting the following defined terms in their appropriate alphabetical order:

 

“Amendment No. 4” shall mean Amendment No. 4 and Waiver to this Agreement dated as of November 8, 2006.

 

“Amendment No. 4 Closing Date” shall mean the date upon which all of the conditions precedent to the effectiveness of Amendment No. 4 have been satisfied.

 

(b)           Section 5.3(A) of the Loan Agreement is hereby amended and restated solely to the extent of the accounting periods commencing with the Four Quarters ending December 31, 2006 through and including the Four Quarters ending December 31, 2007 as follows:

 

(A)           Fixed Charge Coverage.  A minimum Fixed Charge Coverage Ratio as of the end of each period set forth below of not less than the respective ratio set forth below:

	
Period

	 	
Fixed Charge Coverage Ratio

	 	 	 
	
Four Quarters ending December 31, 2006

	 	
0.88 to 1.00

	
Four Quarters ending March 31, 2007

	 	
0.85 to 1.00

	
Four Quarters ending June 30, 2007

	 	
0.90 to 1.00

	
Four Quarters ending September 30, 2007

	 	
0.95 to 1.00

	
Four Quarters ending December 31, 2007

	 	
0.95 to 1.00

  

2

  

 

(c)           Section 5.3(B) of the Loan Agreement is hereby amended and restated solely to the extent of the accounting periods commencing with the Four Quarters ending December 31, 2006 through and including the Four Quarters ending December 31, 2007 as follows:

 

(B)           Total Leverage.  A Total Leverage Ratio as of the end of each period set forth below in a ratio not greater than the respective ratio set forth below:

	
Period

	 	
Total Leverage Ratio

	 	 	 
	
Four Quarters ending December 31, 2006

	 	
4.25 to 1.00

	
Four Quarters ending March 31, 2007

	 	
4.25 to 1.00

	
Four Quarters ending June 30, 2007

	 	
4.20 to 1.00

	
Four Quarters ending September 30, 2007

	 	
4.10 to 1.00

	
Four Quarters ending December 31, 2007

	 	
4.00 to 1.00

(d)           Section 5.3(C) of the Loan Agreement is hereby amended and restated solely to the extent of the accounting periods commencing with the Four Quarters ending December 31, 2006 through and including the Four Quarters ending December 31, 2007 as follows:

 

(C)           Minimum EBITDA.  EBITDA as of the end of each period set forth below in an amount not less than the respective amount set forth below:

	
Period

	 	
Minimum EBITDA

	 
	 	 	 	 	 
	
Four Quarters ending December 31, 2006

	 	$	25,500,000	 
	
Four Quarters ending March 31, 2007

	 	$	25,500,000	 
	
Four Quarters ending June 30, 2007

	 	$	25,500,000	 
	
Four Quarters ending September 30, 2007

	 	$	25,500,000	 
	
Four Quarters ending December 31, 2007

	 	$	25,800,000	 

(e)           Section 5.3(D) of the Loan Agreement is hereby amended and restated solely to the extent of the accounting periods commencing with the Four Quarters ending December 31, 2006 through and including the Four Quarters ending December 31, 2007 as follows:

 

(D)           Senior Leverage Ratio.  A Senior Leverage Ratio as of the end of each period set forth below in a ratio not greater than the respective ratio set forth below:

  

3

  

	
Period

	 	
Senior Leverage Ratio

	 	 	 
	
Four Quarters ending December 31, 2006

	 	
3.70 to 1.00

	
Four Quarters ending March 31, 2007

	 	
3.65 to 1.00

	
Four Quarters ending June 30, 2007

	 	
3.60 to 1.00

	
Four Quarters ending September 30, 2007

	 	
3.50 to 1.00

	
Four Quarters ending December 31, 2007

	 	
3.40 to 1.00

3.           Waiver of Designated Defaults.  Subject to satisfaction of the conditions set forth in Section 4 below, Requisite Lenders hereby waive the Designated Defaults.

 

4.           Conditions of Effectiveness.  This Amendment No. 4 and Waiver shall become effective upon satisfaction of the following conditions precedent:

 

(a)           Agent shall have received eight (8) copies of this Amendment No. 4 and Waiver duly executed by each Borrower and Requisite Lenders;

 

(b)           Agent shall have received, for the pro rata benefit of the Lenders executing Amendment No. 4 and Waiver on or before the Amendment No. 4 Closing Date, based upon their respective Commitments, the sum of $225,000, which shall be fully earned on the Amendment No. 4 Closing Date and not subject to rebate, refund, proration and/or reduction for any reason;

 

(c)           Agent shall have received six (6) copies of Amendment No. 2 to Intercreditor Agreement in the form annexed hereto as Exhibit B dated as of the Amendment No. 4 Closing Date duly executed by ACAS; and

 

(d)           Agent shall have received a true and correct copy of an amendment to the Note Purchase Agreement in form and substance satisfactory to Agent in all respects.

 

5.           Representations and Warranties.  Each Borrower hereby represents and warrants as follows:

 

(a)           This Amendment No. 4 and Waiver and the Loan Agreement, as amended hereby, constitute legal, valid and binding obligations of Borrowers and are enforceable against each Borrower in accordance with their respective terms.

 

(b)           Upon the effectiveness of this Amendment No. 4 and Waiver, each Borrower hereby reaffirms all covenants, representations and warranties made in the Loan Agreement to the extent the same are not amended hereby, and agrees that all such covenants, representations and warranties shall be deemed to have been remade as of the effective date of this Amendment No. 4 and Waiver, except to the extent any such representation or warranty expressly relates to an earlier date.

 

(c)           No Event of Default or Default has occurred and is continuing or would exist after giving effect to this Amendment No. 4 and Waiver.

 

  

4

  

 

(d)           No Borrower has any defense, counterclaim or offset with respect to the Loan Agreement.

 

(e)           The issuance of this Amendment No. 4 and Waiver is permitted pursuant to all applicable law and all material agreements, documents and instruments to which any Loan Party is a party or by which any of their respective properties or assets are bound.

 

6.           Effect on the Loan Agreement.

 

(a)           Upon the effectiveness of Section 2 hereof, each reference in the Loan Agreement to “this Agreement,” “hereunder,” “hereof,” “herein” or words of like import shall mean and be a reference to the Loan Agreement as amended hereby.

 

(b)           Except as specifically amended herein, the Loan Agreement, and all other documents, instruments and agreements executed and/or delivered in connection therewith, shall remain in full force and effect, and are hereby ratified and confirmed.

 

(c)           Except as specifically provided herein, the execution, delivery and effectiveness of this Amendment No. 4 and Waiver shall not operate as a waiver of any right, power or remedy of Agent or Lenders, nor constitute a waiver of any provision of the Loan Agreement, or any other documents, instruments or agreements executed and/or delivered under or in connection therewith.

 

7.           Release.  Each Borrower hereby acknowledges and agrees that: (a) neither it nor any of its Affiliates has any claim or cause of action against Agent or any Lender (or any of their respective Affiliates, officers, directors, employees, attorneys, consultants or agents) and (b) Agent and each Lender has heretofore properly performed and satisfied in a timely manner all of its obligations to Borrowers under the Loan Agreement and the other Loan Documents.  Notwithstanding the foregoing, Agent and the Lenders wish (and Borrowers agree) to eliminate any
possibility that any past conditions, acts, omissions, events or circumstances would impair or otherwise adversely affect any of the Agent's and the Lenders' rights, interests, security and/or remedies under the Loan Agreement and the other Loan Documents.  Accordingly, for and in consideration of the agreements contained in this Amendment and other good and valuable consideration, each Borrower (for itself and its Affiliates and the successors, assigns, heirs and representatives of each of the foregoing) (collectively, the "Releasors") does hereby fully, finally, unconditionally and irrevocably release and forever discharge Agent and each Lender and each of their respective Affiliates, officers, directors, employees, attorneys, consultants and agents (collectively, the "Released Parties") from any and all debts, claims, obligations, damages, costs, attorneys' fees, suits, demands, liabilities, actions, proceedings and causes of action, in each case, whether known or unknown, contingent or fixed, direct or indirect, and of whatever nature or description, and whether in law or in equity, under contract, tort, statute or otherwise, which any Releasor has heretofore had or now or hereafter can, shall or may have against any Released Party by reason of any act, omission or thing whatsoever done or omitted to be done on or prior to the Amendment No. 4 Closing Date arising out of, connected with or related in any way to this Amendment No. 4 and Waiver, the Loan Agreement or any other Loan Document, or any act, event or transaction related or attendant thereto, or the agreements of Agent or any Lender contained
therein, or the possession, use, operation or control of any of the assets of any Borrower, or the making of any Advance, or the management of such Advance or the Collateral.

  

5

  

 

8.           Governing Law.  This Amendment No. 4 and Waiver shall be binding upon and inure to the benefit of the parties hereto and their respective successors and assigns and shall be governed by and construed in accordance with the laws of the State of New York.

 

9.           Headings.  Section headings in this Amendment No. 4 and Waiver are included herein for convenience of reference only and shall not constitute a part of this Amendment No. 4 and Waiver for any other purpose.

 

10.           Counterparts; Facsimile.  This Amendment No. 4 and Waiver may be executed by the parties hereto in one or more counterparts, each of which shall be deemed an original and all of which when taken together shall constitute one and the same agreement.  Any signature delivered by a party by facsimile transmission shall be deemed to be an original signature hereto.

 

[BALANCE OF PAGE INTENTIONALLY LEFT BLANK]

 

  

6

  

IN WITNESS WHEREOF, this Amendment No. 4 and Waiver has been duly executed as of the day and year first written above.

 

	  	
ROCKY BRANDS, INC.

	  	
LIFESTYLE FOOTWEAR, INC.

	  	
EJ FOOTWEAR LLC

	  	
HM LEHIGH SAFETY SHOE CO. LLC

	  	
GEORGIA BOOT LLC

	  	
GEORGIA BOOT PROPERTIES LLC

	  	
DURANGO BOOT COMPANY LLC

	  	
NORTHLAKE BOOT COMPANY LLC

	  	
LEHIGH SAFETY SHOE CO. LLC

	  	
LEHIGH SAFETY SHOE PROPERTIES LLC

	  	  
	  	
By:

	
/s/ James E. McDonald

	  	
Name:

	
James E. McDonald

	  	
Title:

	
Chief Financial Officer of each of the

	  	  	
foregoing Borrowers

	  	  
	  	
GMAC COMMERCIAL FINANCE LLC

	  	  
	  	
By:

	
/s/ Thomas Brent

	  	
Name:

	
Thomas Brent

	  	
Title:

	
Director

	  	  
	  	
Revolving Loan Commitment:

	  	
$27,118,640.00

	  	
Term Loan A Commitment:

	  	
$1,211,815.95

	  	
Term Loan C Commitment:

	  	
$4,000,709.63

	  	  
	  	
BANK OF AMERICA, N.A.

	  	  
	  	
By:

	
/s/ William J. Wilson

	  	
Name:

	
William J. Wilson

	  	
Title:

	
Vice President

	  	  
	  	
Revolving Loan Commitment:

	  	
$21,186,440.00

	  	
Term Loan A Commitment:

	  	
$946,731.33

	  	
Term Loan C Commitment:

	  	
$3,125,554.77

 

  

  

  

 

	  	
CHARTER ONE BANK, N.A.

	  	  
	  	
By:

	
/s/ James G. Zamborsky

	  	
Name:

	
James G. Zamborsky

	  	
Title:

	
Vice President

	  	  
	  	
Revolving Loan Commitment:

	  	
$17,796,610.00

	  	
Term Loan A Commitment:

	  	
$795,254.33

	  	
Term Loan C Commitment:

	  	
$2,625,466.07

	  	  
	  	
PNC BANK, NATIONAL ASSOCIATION

	  	  
	  	
By:

	
/s/ Peter Redington

	  	
Name:

	
Peter Redington

	  	
Title:

	
A.V.P.

	  	  
	  	
Revolving Loan Commitment:

	  	
$17,796,610.00

	  	
Term Loan A Commitment:

	  	
$795,254.33

	  	
Term Loan C Commitment:

	  	
$2,625,466.07

	  	  
	  	
COMERICA BANK

	  	  
	  	
By:

	
/s/ Harold Dalton

	  	
Name:

	
Harold Dalton

	  	
Title:

	
V.P.

	  	  
	  	
Revolving Loan Commitment:

	  	
$16,101,700.00

	  	
Term Loan A Commitment:

	  	
$719,516.06

	  	
Term Loan C Commitment:

	  	
$2,375,422.45

 

  

  

  

  

Exhibit B to Amendment No. 4

 

AMENDMENT NO. 2

 

TO

 

INTERCREDITOR AGREEMENT

 

THIS AMENDMENT NO. 2 (“Amendment No. 2”) is entered into as of November 8, 2006, by and among GMAC Commercial Finance LLC, as agent for Lenders (in such capacity, “Agent”), American Capital Financial Services, Inc. as agent for Senior Term B Lienholders (in such capacity, “Sub-Agent”), Rocky Brands, Inc. (formerly known as Rocky Shoes & Boots, Inc.), an Ohio corporation (“Borrower”, and together with the direct and indirect Subsidiaries of Borrower which are signatories hereto, jointly and severally, the “Company”).

 

BACKGROUND

 

Company, Agent and Sub-Agent are parties to an Intercreditor Agreement dated as of January 6, 2005 (as amended by Amendment No. 1 to Intercreditor Agreement dated as of June 28, 2006, and as may be further amended, restated, supplemented or otherwise modified from time to time, the “Intercreditor Agreement”) pursuant to which Agent and Sub-Agent provide for the priorities of the “Liens” in the assets of Company granted to Sub-Agent for its benefit and the ratable benefit of Senior Term B Lienholders to the “Liens” in such assets of Company granted to Agent for its benefit and for the ratable benefit of Lenders.

 

Sub-Agent has informed Agent of the Senior Term B Lienholders’ intention to increase the cash portion of interest payments on Senior Term B Indebtedness through an increase in the interest rate margin by 2.0% above the interest rate margin provided for in the Note Purchase Agreement as in effect on the date hereof, and Agent and Sub-Agent have so agreed to amend the Intercreditor Agreement on the terms and conditions set forth herein.

 

NOW, THEREFORE, in consideration of any loan or advance or grant of credit heretofore or hereafter made to or for the account of Company by Agent and Sub-Agent, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows:

 

11.           Definitions.  All capitalized terms not otherwise defined herein shall have the meanings given to them in the Intercreditor Agreement.

 

12.           Amendment to Intercreditor Agreement.  Subject to satisfaction of the conditions precedent set forth in Section 3 below, the Intercreditor Agreement is amended as follows:

 

(a)           Section 1.1 of the Intercreditor Agreement is amended by inserting the following defined terms in the appropriate alphabetical order to provide as follows:

 

“Amendment No. 2” shall mean Amendment No. 2 to this Intercreditor Agreement dated as of November 8, 2006.

 

  

  

  

  

“Amendment No. 2 Closing Date” shall mean the date upon which all of the conditions precedent to the effectiveness of Amendment No. 2 have been satisfied.

 

(b)           Clause (ii) in Section 3.6 of the Intercreditor Agreement is hereby amended and restated in its entirety as follows:

 

“(ii) increases the cash portion of interest payments on Senior Term B Indebtedness during the Term, including, without limitation an increase in the interest rate margin in excess of 2.0% above the interest rate margin provided for in the Note Purchase Agreement as in effect on the date hereof, which has the effect of increasing the cash portion of interest payments on the Senior Term B Indebtedness, other than the imposition of default interest at the rate provided for in the Note Purchase Agreement as in effect on the date hereof,”

13.           Conditions of Effectiveness.  This Amendment No. 2 shall become effective upon receipt by each of Agent and Sub-Agent of six (6) fully executed counterparts hereof.

 

14.           Effect on the Intercreditor Agreement.

 

(a)           Upon the effectiveness of Section 2 hereof, each reference in the Intercreditor Agreement to “this Agreement,” “this Intercreditor Agreement”, “hereunder,” “hereof,” “herein” or words of like import shall mean and be a reference to the Intercreditor Agreement as amended hereby.

 

(b)           Except as specifically amended herein, the Intercreditor Agreement, and all other documents, instruments and agreements executed and/or delivered in connection therewith, shall remain in full force and effect, and are hereby ratified and confirmed.

 

(c)           The execution, delivery and effectiveness of this Amendment No. 2 shall not operate as a waiver of any right, power or remedy of Agent or Sub-Agent, nor constitute a waiver of any provision of the Intercreditor Agreement, or any other documents, instruments or agreements executed and/or delivered under or in connection therewith.

 

15.           Governing Law.  This Amendment No. 2 shall be binding upon and inure to the benefit of Agent and Sub-Agent, and their respective successors and assigns, and shall be governed by and construed in accordance with the laws of the State of New York.

 

16.           Headings.  Section headings in this Amendment No. 2 are included herein for convenience of reference only and shall not constitute a part of this Amendment No. 2 for any other purpose.

 

17.           Counterparts; Facsimile.  This Amendment No. 2 may be executed by the parties hereto in one or more counterparts, each of which shall be deemed an original and all of which when taken together shall constitute one and the same agreement.  Any signature delivered by a party by facsimile transmission or by other electronic method of transmission (including, without limitation, in “pdf” format) shall be deemed an original signature hereto.

 

  

10

  

IN WITNESS WHEREOF, this Amendment No. 2 has been duly executed as of the day and year first written above.

 

	  	
GMAC COMMERCIAL FINANCE LLC,

	  	
as Agent

	  	  
	  	
By:

	
/s/ Thomas Brent

	  	
Name:

	
Thomas Brent

	  	
Title:

	
Director

	  	  
	  	
AMERICAN CAPITAL FINANCIAL SERVICES,

	  	
INC., as Sub-Agent

	  	  
	  	
By:

	
/s/ Kenneth E. Jones

	  	
Name:

	
Kenneth E. Jones

	  	
Title:

	
Vice President

	  	  
	  	
ROCKY BRANDS, INC.

	  	
LIFESTYLE FOOTWEAR, INC.

	  	
EJ FOOTWEAR LLC

	  	
HM LEHIGH SAFETY SHOE CO. LLC

	  	
GEORGIA BOOT LLC

	  	
GEORGIA BOOT PROPERTIES LLC

	  	
DURANGO BOOT COMPANY LLC

	  	
NORTHLAKE BOOT COMPANY LLC

	  	
LEHIGH SAFETY SHOE CO. LLC

	  	
LEHIGH SAFETY SHOE PROPERTIES LLC

	  	  
	  	
By:

	
/s/ James E. McDonald

	  	
Name:

	
James E. McDonald

	  	
Title:

	
Chief Financial Officer of each

	  	
of the foregoing BorrowersExhibit 10.32

     

AMENDMENT NO. 5

 

TO

 

LOAN AND SECURITY AGREEMENT

 

THIS AMENDMENT NO. 5 (“Amendment No. 5”) is entered into as of January 1, 2007, by and among ROCKY BRANDS, INC. (formerly known as ROCKY SHOES & BOOTS, INC. and successor-in-interest by merger to EJ FOOTWEAR LLC), a corporation organized and existing under the laws of the State of Ohio, LIFESTYLE FOOTWEAR, INC., a corporation organized and existing under the laws of the State of Delaware, ROCKY BRANDS WHOLESALE LLC, a limited liability company organized and existing under the laws of the State of Delaware (formerly known as GEORGIA BOOT LLC and successor-in-interest by merger to GEORGIA BOOT PROPERTIES LLC, DURANGO BOOT COMPANY LLC and NORTHLAKE BOOT COMPANY LLC), ROCKY BRANDS RETAIL LLC, a limited
liability company organized and existing under the laws of the State of Delaware (formerly known as LEHIGH SAFETY SHOE CO. LLC and successor-in-interest by merger to LEHIGH SAFETY SHOE PROPERTIES LLC and HM LEHIGH SAFETY SHOE CO. LLC) (the foregoing entities, jointly and severally, “Borrower”), the financial institutions party thereto (each a “Lender” and collectively, the “Lenders”), and GMAC COMMERCIAL FINANCE LLC, as administrative agent and sole lead arranger for the Lenders (in such capacities, the “Agent”).

 

BACKGROUND

 

Borrowers, Agent and Lenders are parties to a Loan and Security Agreement dated as of January 6, 2005 (as amended by Amendment No. 1 to Loan and Security Agreement and Consent dated as of January 19, 2005, Amendment No. 2 to Loan and Security Agreement dated as of April 30, 2006, Amendment No. 3 to Loan and Security Agreement dated as of June 28, 2006, Amendment No. 4 to Loan and Security Agreement dated as of November 8, 2006 and as further amended, restated, supplemented or otherwise modified from time to time, the “Loan Agreement”) pursuant to which Agent and Lenders provide Borrowers with certain financial accommodations.

 

Borrowers have informed Agent and Lenders of the following mergers and name changes (the “Mergers and Reorganization”), each effective on or about the date hereof, and have requested Lenders to consent to the amendment and restatement of Schedules 4.1(A), 4.1(D), 4.1(Q), 4.1(R), 5.2(B), 6.1(K) and 6.1(Q) of the Loan Agreement which give effect to the Mergers and Reorganization (the “Revised Schedules”):  

 

	
  

	
·

	
EJ Footwear LLC will merge with and into Rocky Brands, Inc., whereby EJ Footwear LLC will cease to exist and Rocky Brands, Inc. will survive;

	
  

	
·

	
Georgia Boot Properties LLC, Durango Boot Company LLC and Northlake Boot Company LLC will merge with and into Georgia Boot LLC, whereby Georgia Boot Properties LLC, Durango Boot Company LLC and Northlake Boot Company LLC will cease to exist and Georgia Boot LLC, under the new name of Rocky Brands Wholesale LLC, will survive;

 

  

  

  

 

	
  

	
·

	
Lehigh Safety Shoe Properties LLC will merge with and into Lehigh Safety Shoe Co. LLC, whereby Lehigh Safety Shoe Properties LLC will cease to exist and Lehigh Safety Shoe Co. LLC will survive; and

	
  

	
·

	
HM Lehigh Safety Shoe Co. LLC will merge with and into Lehigh Safety Shoe Co. LLC, whereby HM Lehigh Safety Shoe Co. LLC will cease to exist and Lehigh Safety Shoe Co. LLC, under the new name of Rocky Brands Retail LLC, will survive.

Lenders have agreed to accept the Revised Schedules and effectuate such other modifications to the Loan Agreement on the terms and conditions set forth herein.

 

Borrowers have also requested Lenders to agree to make available LIBOR Loans of a duration of either one, two or three weeks, in each case, however, bearing interest as if the respective Interest Period was of a one month duration.  Lenders have agreed to this modification on the terms and conditions set forth herein.

 

NOW, THEREFORE, in consideration of any loan or advance or grant of credit heretofore or hereafter made to or for the account of Borrowers by Agent and Lenders, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows:

 

1.           Definitions.  All capitalized terms not otherwise defined herein shall have the meanings given to them in the Loan Agreement.

 

2.           Amendment to Loan Agreement.  Subject to satisfaction of the conditions precedent set forth in Section 3 below, the Loan Agreement is amended as follows:

 

(a)           The introductory paragraph to the Loan Agreement is hereby amended and restated as follows:

 

THIS AGREEMENT is dated as of January 6, 2005 and entered into among ROCKY BRANDS, INC. (formerly known as ROCKY SHOES & BOOTS, INC. and successor-in-interest by merger to EJ FOOTWEAR LLC), a corporation organized and existing under the laws of the State of Ohio (“Parent”), LIFESTYLE FOOTWEAR, INC., a corporation organized and existing under the laws of the State of Delaware, ROCKY BRANDS WHOLESALE LLC, a limited liability company organized and existing under the laws of the State of Delaware (formerly known as GEORGIA BOOT LLC and successor-in-interest by merger to GEORGIA BOOT PROPERTIES LLC, DURANGO BOOT COMPANY LLC and NORTHLAKE BOOT COMPANY LLC), ROCKY BRANDS RETAIL LLC, a limited liability
company organized and existing under the laws of the State of Delaware (formerly known as LEHIGH SAFETY SHOE CO. LLC and successor-in-interest by merger to LEHIGH SAFETY SHOE PROPERTIES LLC and HM LEHIGH SAFETY SHOE CO. LLC) (the foregoing entities, jointly and severally, as the context requires, “Borrower”), the financial institution(s) listed on the signature pages hereof and their respective successors and Eligible Assignees (each individually a “Lender” and collectively, “Lenders”), GMAC COMMERCIAL FINANCE LLC, a Delaware limited liability company (in its individual capacity, “GMAC CF”), as administrative agent and sole lead arranger for the Lenders (in such capacities, the “Agent”) and BANK OF AMERICA, N.A., as syndication agent (in such capacity, the “Syndication Agent”). 

 

  

2

  

(b)           The introductory paragraph to the definition of “Interest Period” appearing in Section 1.1 of the Loan Agreement is hereby amended and restated as follows:

 

“Interest Period” means, in connection with each LIBOR Loan, an interest period which Borrowing Agent shall elect to be applicable to such Loan, which Interest Period shall be either (a) a one (1), two (2), three (3), or six (6) month period or (b) a one (1), two (2) or three (3) week period; provided in each case that:

 

(c)           The introductory paragraph to the definition of “LIBOR” appearing in Section 1.1 of the Loan Agreement is hereby amended and restated as follows:

 

“LIBOR” means, for each Interest Period (provided that in the case of any Interest Period having a duration of one (1), two (2) or three (3) weeks, the Interest Period with respect thereto for purposes of this  definition of LIBOR shall mean one (1) month), a rate per annum equal to: 

 

(d)           Schedules 4.1(A), 4.1(D), 4.1(Q), 4.1(R), 5.2(B), 6.1(K) and 6.1(Q) of the Loan Agreement are hereby amended and restated by the corresponding Schedules to Amendment No. 5.

 

3.           Conditions of Effectiveness.  This Amendment No. 5 shall become effective upon satisfaction of the following conditions precedent:

 

(a)           Agent shall have received eight (8) copies of this Amendment No. 5 duly executed by each Borrower and each Lender;

 

(b)           Agent shall have received true and correct copies of all documents and certificates by and among Borrowers reflecting the Mergers and Reorganization and certified copies of all documentation issued by the Secretary of the State of Delaware, and, where applicable, the Secretary of the State of Ohio, relating thereto; and

 

(c)           Agent shall have received opinions of counsel from counsel to each Borrower in form and substance satisfactory to Agent with respect to the Mergers and Reorganization.

 

4.           Representations and Warranties.  Each Borrower hereby represents and warrants as follows:

  

3

  

(a)           This Amendment No. 5 and the Loan Agreement, as amended hereby, constitute legal, valid and binding obligations of Borrowers and are enforceable against each Borrower in accordance with their respective terms.

 

(b)           Upon the effectiveness of this Amendment No. 5, each Borrower hereby reaffirms all covenants, representations and warranties made in the Loan Agreement to the extent the same are not amended hereby, and agrees that all such covenants, representations and warranties shall be deemed to have been remade as of the effective date of this Amendment No. 5, except to the extent any such representation or warranty expressly relates to an earlier date.

 

(c)           No Event of Default or Default has occurred and is continuing or would exist after giving effect to this Amendment No. 5.

 

(d)           No Borrower has any defense, counterclaim or offset with respect to the Loan Agreement.

 

(e)           The issuance of this Amendment No. 5 is permitted pursuant to all applicable law and all material agreements, documents and instruments to which any Borrower is a party or by which any of their respective properties or assets are bound.

 

5.           Effect on the Loan Agreement.

 

(a)           Upon the effectiveness of Section 2 hereof, each reference in the Loan Agreement to “this Agreement,” “hereunder,” “hereof,” “herein” or words of like import shall mean and be a reference to the Loan Agreement as amended hereby.

 

(b)           Except as specifically amended herein, the Loan Agreement, and all other documents, instruments and agreements executed and/or delivered in connection therewith, shall remain in full force and effect, and are hereby ratified and confirmed.

 

(c)           The execution, delivery and effectiveness of this Amendment No. 5 shall not operate as a waiver of any right, power or remedy of Agent or Lenders, nor constitute a waiver of any provision of the Loan Agreement, or any other documents, instruments or agreements executed and/or delivered under or in connection therewith.

 

6.           Release.  Each Borrower hereby acknowledges and agrees that: (a) neither it nor any of its Affiliates has any claim or cause of action against Agent or any Lender (or any of their respective Affiliates, officers, directors, employees, attorneys, consultants or agents) and (b) Agent and each Lender has heretofore properly performed and satisfied in a timely manner all of its obligations to Borrowers under the Loan Agreement and the other Loan Documents.  Notwithstanding the foregoing, Agent and the Lenders wish (and Borrowers agree) to eliminate any
possibility that any past conditions, acts, omissions, events or circumstances would impair or otherwise adversely affect any of the Agent's and the Lenders' rights, interests, security and/or remedies under the Loan Agreement and the other Loan Documents.  Accordingly, for and in consideration of the agreements contained in this Amendment and other good and valuable consideration, each Borrower (for itself and its Affiliates and the successors, assigns, heirs and representatives of each of the foregoing) (collectively, the "Releasors") does hereby fully, finally, unconditionally and irrevocably release and forever discharge Agent and each Lender and each of their respective Affiliates, officers, directors, employees, attorneys, consultants and agents (collectively, the "Released Parties") from any and all debts, claims, obligations, damages, costs, attorneys' fees, suits, demands, liabilities, actions, proceedings and causes of action, in each case, whether known or unknown, contingent or fixed, direct or indirect, and of whatever nature or description, and whether in law or in equity, under contract, tort, statute or otherwise, which any Releasor has heretofore had or now or hereafter can, shall or may have against any Released Party by reason of any act, omission or thing whatsoever done or omitted to be done on or prior to the effective date of Amendment No. 5 arising out of, connected with or related in any way to this Amendment No. 5, the Loan Agreement or any other Loan Document, or any act, event or transaction related or attendant thereto, or the agreements of Agent or any Lender contained
therein, or the possession, use, operation or control of any of the assets of any Borrower, or the making of any Advance, or the management of such Advance or the Collateral.

  

4

  

7.           Governing Law.  This Amendment No. 5 shall be binding upon and inure to the benefit of the parties hereto and their respective successors and assigns and shall be governed by and construed in accordance with the laws of the State of New York.

 

8.           Headings.  Section headings in this Amendment No. 5 are included herein for convenience of reference only and shall not constitute a part of this Amendment No. 5 for any other purpose.

 

9.           Counterparts; Facsimile.  This Amendment No. 5 may be executed by the parties hereto in one or more counterparts, each of which shall be deemed an original and all of which when taken together shall constitute one and the same agreement.  Any signature delivered by a party by facsimile or electronic transmission (including in “pdf” format) shall be deemed to be an original signature hereto.

 

[BALANCE OF PAGE INTENTIONALLY LEFT BLANK]

 

  

5

  

IN WITNESS WHEREOF, this Amendment No. 5 has been duly executed as of the day and year first written above.

 

	
ROCKY BRANDS, INC.

	
LIFESTYLE FOOTWEAR, INC.

	
ROCKY BRANDS WHOLESALE LLC

	
ROCKY BRANDS RETAIL LLC

	  
	
By:

	
/s/ James E. McDonald

	
Name:

	
James E. McDonald

	
Title:

	
Chief Financial Officer of each of the

	  	
foregoing Borrowers

	  
	
GMAC COMMERCIAL FINANCE LLC

	  
	
By:

	
/s/ Thomas Brent

	
Name: Thomas Brent

	
Title:  Director

	  
	
BANK OF AMERICA, N.A.

	  
	
By:

	
/s/ William J. Wilson

	
Name: William J. Wilson

	
Title: Vice President

	  
	
CHARTER ONE BANK, N.A.

	  
	
By:

	
/s/ James G. Zamborsky

	
Name: James G. Zamborsky

	
Title: Vice President

	  
	
PNC BANK, NATIONAL ASSOCIATION

	  
	
By:

	
/s/ Peter Redington

	
Name: Peter Redington

	
Title: A.V.P.

	  
	
COMERICA BANK

	  
	
By:

	
/s/ Harold Dalton

	
Name: Harold Dalton

	
Title: Vice President

  

  

  

SCHEDULES TO AMENDMENT NO. 5 TO LOAN AND SECURITY AGREEMENT

Dated as of January 1, 2007

	
Schedule 4.1(A)

	
Organizational Schedule

	
Schedule 4.1(D)

	
Capitalization Schedule

	
Schedule 4.1(Q)

	
Properties Schedule

	
Schedule 4.1(R)

	
Intellectual Property Schedule

	
Schedule 5.2(B)

	
Permitted Liens Schedule

	
Schedule 6.1(K)

	
Deposit Accounts

	
Schedule 6.1(Q)

	
Names and Locations

  

  

  

  

SCHEDULE 4.1(A)

Organizational Schedule

	
Name

	  	
Principal Place of 

Business

	  	
 Qualified to do

Business

	  	
Subsidiaries

	
Rocky Brands, Inc., an Ohio corporation

	  	
39 East Canal Street

Nelsonville, OH 45764

	  	
OH and VA

	  	
Lifestyle Footwear, Inc.

Rocky Brands Wholesale LLC

Five Star Enterprises Ltd.

Rocky Canada, Inc.

Rocky Brands Retail LLC

 

	
Lifestyle Footwear, Inc., a Delaware corporation

	  	
Road 125 KM 3.8 BO Pueblo Industrial Park

Moca, PR  00676-0728

	  	
DE and Puerto Rico

	  	
None

 

 

 

	
Rocky Brands Wholesale LLC, a Delaware limited liability company

 

	  	
235 Noah Drive

Franklin, TN  37064

	  	
DE, GA, TN, NY, and OH

	  	
None

	
Rocky Brands Retail LLC, a Delaware limited liability company

	  	
120 Plaza Drive

Vestal, NY 13850

 

	  	
DE, KY, OH, NY, CA, MO, MI, NH, KS, SC, GA, PA, NC, LA, CO, IN, TX, TN, HI, WI, IL, FL, MN, UT, VA

 

	  	
None

  

  

  

SCHEDULE 4.1(D)

Capitalization Schedule

ROCKY BRANDS, INC. (formerly Rocky Shoes & Boots, Inc.)

Authorized:

	 	
1. 

	
250,000,000 shares of common stock, without par value

	 	
2. 

	
250,000 shares of voting preferred stock, without par value

	 	
3. 

	
250,000 shares of non-voting preferred stock, without par value, consisting of:

	
  

	
a.

	
125,000 shares of Series A Non-Voting Convertible Preferred Stock

	
  

	
b.

	
125,000 shares of Series B Junior Participating Cumulative Preferred Stock

Issued and Outstanding:  only common

 

Rocky has stock options issued and outstanding under:

	 	
1.

	
1992 Stock Option Plan

	 	
2.

	
1995 Amended and Restated Stock Option Plan

	 	
3.

	
2004 Stock Incentive Plan

As of September 30, 2006, 543,276 shares are issued and outstanding pursuant to option plans.

LIFESTYLE FOOTWEAR, INC.

Authorized:  3,000 shares of common stock, without par value

Issued and Outstanding:  2,000 shares to Rocky Brands, Inc. (formerly Rocky Shoes & Boots, Inc.), Replacement Certificate No. 3.

ROCKY CANADA, INC.

Authorized:  an unlimited number of common shares

Issued and Outstanding:  100 shares to Rocky Brands, Inc. (formerly Rocky Shoes & Boots, Inc.), Certificate No. 2 for 65 shares and Certificate No. 3 for 35 shares

FIVE STAR ENTERPRISES LTD.

 

Authorized:  900,000 shares of common stock, valued at One United States Dollar each

Issued and Outstanding:  5,000 shares to Rocky Brands, Inc. (formerly Rocky Shoes & Boots, Inc.), Replacement Certificate No. 6

ROCKY BRANDS WHOLESALE LLC (formerly Georgia Boot LLC prior to merger of Georgia Boot Properties LLC, Durango Boot Company LLC, and Northlake Boot Company LLC with and into Georgia Boot LLC, with name change to Rocky Brands Wholesale LLC)

Authorized:  100 Class A Common Units

Issued and Outstanding:  100 Class A Common Units to Rocky Brands, Inc. (formerly Rocky Shoes & Boots, Inc.), Certificate No. 2

  

  

  

 

ROCKY BRANDS RETAIL LLC (formerly Lehigh Safety Shoe Co. LLC prior to mergers of Lehigh Safety Shoe Properties LLC with and into Lehigh Safety Shoe Co. LLC and HM Lehigh Safety Shoe Co. LLC with and into Lehigh Safety Shoe Co. LLC, with name change to Rocky Brands Retail LLC)

Authorized:  100 Class A Common Units

Issued and Outstanding:  100 Class A Common Units to Rocky Brands, Inc. (formerly Rocky Shoes & Boots, Inc.), Certificate No. 1

  

  

  

 

SCHEDULE 4.1(Q)

 

Properties Schedule

 

A.           Rocky Brands, Inc. (formerly Rocky Shoes & Boots, Inc.)

1.           Owned Real Property

39 East Canal Street

Nelsonville, OH  45764

(mortgaged to General Electric Capital Business Asset Funding Corporation)

	
  

	
29 Fayette St.

	
  

	
Nelsonville, OH 45764

2.           Leased Real Property – None

B.           Lifestyle Footwear, Inc.

1.           Owned Real Property – None

2.           Leased Real Property

Road 125 KM 3.8 BO Pueblo Industrial Park

Moca, PR  00676-0728

C.           Rocky Brands Wholesale LLC (formerly Georgia Boot LLC)

1.           Owned Real Property

37601 Rocky Boots Way

Logan, OH  43138

2.           Leased Real Property

235 Noah Drive

Franklin, TN 37064

Office

Denver Merchandise Mart

451 East 58th Street

Showrooms 3529 & 4435

Denver, CO  80216

D.           Rocky Brands Retail LLC (formerly Lehigh Safety Shoe Co. LLC)

1.           Owned Real Property

 

  

  

  

 

45 East Canal Street

Nelsonville, OH 45764

901 Franklin Street E

Endicott, NY 13761

2.           Leased Real Property

120 Plaza Dr.

Vestal, NY

Office

12545 Laramie Avenue, Unit 11-B

Alsip, IL  60803

9038 N. IH-35, Suite A

Austin, TX  78753

5001 & 5021 West 161st Street

Brook Park, OH  44142

Unit E, 400 Northeast Dr.

Columbia, SC  29203

7250 Bandini Blvd., Unit 102

Commerce, CA  90040

4413 Empire Way

Westland Commerce Center II

Lansing, MI  48917

3890 Kipling, Unit K

Wheat Ridge, CO  80033

2945 S. Miami Blvd., Suite 120

Durham, NC  27703

Suite 103

Powerline Business Center

5601 N.W. 9th Avenue

Fort Lauderdale, FL  33309

284 South Colony Rd.

Route #5

Wallingford, CT  06492

1130 N. Nimitz  Highway, Suite A-122

Honolulu, HI  96817

5545 West Raymond Street, Suite C

Indianapolis, IN  46241

  

  

  

  

3103 Fern Valley Rd., Suite 103

Louisville, KY 40213

2885 Business Park Drive

Airport Business Park

Building E

Memphis, TN 38118

2415 Monroe Road

DePere, WI  54115

4250 44th Avenue, Suite 2

Moline, IL  61265

Three  Progress Avenue

Nashua, NH 03062

1412 Antioch Pike, Suite 101

Nashville, TN  37211

5610 Jefferson Highway, C-1

Elmwood Distribution Center

Elmwood, LA 70123

5952 Peachtree Industrial Blvd.

Suite 17

Norcross, GA  30071

7685 Currency Drive

Sand Lake Service Center 2

Orlando, FL  32809

4735 Campbell's Run Road, Space A

Pittsburgh, PA  15205

1331-1333 West 3300 South

West Valley City, UT 84119

1510 Montague Expressway

San Jose, CA  95131

Carr 887 km. 0.6 Victoria Industrial Park

Carolina Commercial Park, Puerto Rico 00987

10 Saratoga Avenue

South Glen Falls, NY  12803

13609 Lakefront Drive

Earth City, MO  63045

 

  

  

  

   

445 Etna Street, Suite 56, 57b

St. Paul, MN  55106

6103 E. Malloy Rd.

E. Syracuse, NY  13057

Corporex Plaza

3904 Corporex Park Drive

Suite 101A

Tampa, FL  33619

1927 S. West Street, Suite B

Wichita, KS  67213

34-23 38th Street

Long Island City, NY  11101

47 Bridge Street

Corning, NY  14830

Commercial Center

2229 E. Division

Arlington, TX  76011

1707 Center Street

Deer Park, TX  77536

  

  

  

    

SCHEDULE 4.1(R)

Intellectual Property Schedule

ROCKY BRANDS, INC. (formerly ROCKY SHOES & BOOTS, INC.)

FEDERAL TRADEMARK APPLICATIONS AND REGISTRATIONS

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

ALPHAFORCE

	 	
 

Ser. No. 78/098664

Reg. No. 2766744

	 	
 

Filed 12/17/01

Reg. 9/23/03

	 	  
	
 

AOG

	 	
 

Serial No. 75/010045

Reg. No. 2166173

	 	
 

Filed 10/24/95

Reg. 6/16/98

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

AQUA GUARD

	 	
 

Ser. No. 75/786424

Reg. No. 2538542

	 	
 

Filed 8/27/99

Reg. 2/12/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

BEAR CLAW

	 	
 

Ser. No. 74/662553

Reg. No. 1974865

	 	
 

Filed 4/18/95

Reg. 5/21/96

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

CAMO-TEK

	 	
 

Ser. No. 75/603250

Reg. No. 2534492

	 	
 

Filed 12/10/98

Reg. 1/29/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

CORNSTALKERS

	 	
 

Ser. No. 74/541038

Reg. No. 1897612

	 	
 

Filed 6/22/94

Reg. 6/6/95

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

DESIGN (Boot)

	 	
 

Ser. No. 78/520734

Reg. No. 3057432

	 	
 

Filed 11/22/04

Reg. 2/7/06

	 	  
	
 

DURANGO MUSTANG

	 	
 

Ser. No. 77/054878

	 	
 

Filed 12/1/06

	 	  
	
 

FIRSTMED

	 	
 

Ser. No. 76/109464

Reg. No. 2595571

	 	
 

Filed 8/15/00

Reg. 7/16/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

FORMZ

	 	
 

Ser. No. 75/674579

Reg. No. 2466342

	 	
 

Filed 4/5/99

Reg. 7/3/01

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

G (Stylized)

 

	 	
 

Ser. No. 76/182533

Reg. No. 2967416

	 	
 

Filed 12/18/00

Reg. 7/12/05

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

GATES (Stylized)

	 	
 

Ser. No. 73/464729

Reg. No. 1319524

	 	
 

Filed 2/8/84

Reg. 2/12/85

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

  

  

  

   

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

GATES (stylized)

	 	
 

Ser. No. 76/186743

Reg. No. 2743239

	 	
 

Filed 12/27/00

Reg. 7/29/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

GATES GLOVES

	 	
 

Ser. No. 73/194276

Reg. No. 1174311

	 	
 

Filed 11/22/78

Reg 10/20/81

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

GATES LITE (stylized)

	 	
 

Ser. No. 73/606294

Reg. No. 1439249

	 	
 

Filed 6/25/86

Reg. 5/12/87

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

GATES ULTRA LITE (stylized)

	 	
 

Ser. No. 73/778191

Reg. No. 1558154

	 	
 

Filed 2/2/89

Reg. 9/26/89

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

INTER-FLEX

	 	
 

Ser. No. 78/655300

	 	
 

Filed 6/21/05

	 	  
	
 

INTER FLX

	 	
 

Ser. No. 78/720437

	 	
 

Filed 9/26/05

	 	  
	
 

LONGBEARD

	 	
 

Ser. No. 75/566549

Reg. No. 2515692

	 	
 

Filed 10/5/98

Reg. 12/4/01

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

PRO-HIKER

	 	
 

Ser. No. 78/471685

 

	 	
 

Filed 8/23/04

 

	 	
 

Assigned to GMAC Financial, LLC 2/2/05

	
 

PROHUNTER

	 	
 

Ser. No. 75/533954

Reg. No. 2820566

	 	
 

Filed 8/10/98

Reg. 3/9/04

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

PROHUNTER

	 	
 

Ser. No. 77/022459

	 	
 

Filed 10/17/06

	 	  
	
 

ROCKY

	 	
 

Ser. No. 73/797529

Reg. No. 1577871

	 	
 

Filed 5/1/89

Reg. 1/16/90

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

ROCKY

and Design

	 	
 

Ser. No. 75/670045

Reg. No. 2538870

	 	
 

Filed 3/29/99

Reg. 2/19/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

ROCKY

and Design

	 	
 

Ser. No. 75/671246

Reg. No. 2538872

	 	
 

Filed 3/29/99

Reg. 2/19/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

ROCKY

and Design

	 	
 

Ser. No. 76/519218

Reg. No. 2898894

	 	
 

Filed 5/19/03

Reg. 11/2/04

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

ROCKY 911 SERIES

 

	 	
 

Ser. No. 74/073129

Reg. No. 3132278

	 	
 

Filed 4/14/05

Reg. 8/22/06

	 	  
	
 

ROCKY BOOTS

and Design

	 	
 

Ser. No. 73/313429

Reg. No. 1313519

	 	
 

Filed 6/5/81

Reg. 1/8/85

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

 

  

  

  

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

ROCKY and Design

	 	
 

Ser. No. 75/977717

Reg. No. 2200673

	 	
 

Filed 5/15/95

Reg. 10/27/98

	 	
 

Assigned to GMAC Business Credit, LLC 9/26/00

	
 

ROCKY ELMINATOR

	 	
 

Ser. No. 76/111663

Reg. No. 2587482

	 	
 

Filed 8/17/00

Reg. 7/2/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SAWBLADE

	 	
 

Ser. No. 78/086747

Reg. No. 2730726

	 	
 

Filed 10/3/01

Reg. 6/24/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SILENTHUNTER

	 	
 

Ser. No. 78/135127

Reg. No. 2982826

	 	
 

Filed 6/12/02

Reg. 8/9/05

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SILENTHUNTER

	 	
 

Ser. No. 75/566533

Reg. No. 2553070

	 	
 

Filed 10/5/98

Reg. 3/26/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SMART GLOVE BY GATES

	 	
 

Ser. No. 76/345733

	 	
 

Filed 12/4/01

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SNOW STALKER

	 	
 

Ser. No. 74/663746

Reg. No. 1955171

	 	
 

Filed 4/20/95

Reg. 2/6/96

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

STALKERS

	 	
 

Ser. No. 74/541039

Reg. No. 1975747

	 	
 

Filed 6/22/94

Reg. 5/28/96

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

TAC•TEAM

	 	
 

Ser. No. 75/565836

Reg. No. 2307328

	 	
 

Filed 10/6/98

Reg. 1/11/00

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

TECHNO-RIDE

	 	
 

Ser. No. 77/002482

	 	
 

Filed 9/19/06

	 	  
	
 

TRAILBLADE

	 	
 

Ser. No. 78/720442

	 	
 

Filed 9/26/05

	 	  
	
 

TRIAD (stylized)

	 	
 

Ser. No. 73/720906

Reg. No. 1537440

	 	
 

Filed 4/7/88

Reg. 5/2/89

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

WILD WOLF

	 	
 

Ser. No. 78/079724

Reg. No. 2642990

	 	
 

Filed 8/17/01

Reg. 10/29/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

WILD WOLF

	 	
 

Ser. No. 78/079843

Reg. No. 2760278

	 	
 

Filed 8/17/01

Reg. 9/2/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

WOODS N'WORK

	 	
 

Ser. No. 77/048951

	 	
 

Filed 11/21/06

	 	  
	
 

WORKSMART

	 	
 

Ser. No. 77/030309

	 	
 

Filed 10/26/06

	 	  
	
 

XSP

	 	
 

Ser. No. 78/647155

	 	
 

Filed 6/9/05

	 	  

  

  

  

     

ROCKY BRANDS, INC. (formerly ROCKY SHOES & BOOTS, INC.)

FEDERAL PATENTS AND PATENT APPLICATIONS

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

”No.

	 	
 

Filing Date

	
 

WATERPROOF FOOTWEAR LINER AND METHOD OF MAKING THE SAME

Inventors:  Allen G. Sheets, Richard Finney

	 	  	 	  	 	  	 	
 

10/237001

	 	
 

9/6/02

	
 

FOOTWEAR SOLE WITH INTEGRAL DISPLAY ELEMENT

Inventors:  Mike Brooks, Allen G. Sheets

	 	
 

6539646

	 	
 

4/1/03

	 	
 

1/11/21

	 	
 

09/758583

	 	
 

1/11/01

	
 

WATERPROOF FOOTWEAR LINER AND METHOD OF MAKING SAME

Inventors:  Allen G. Sheets, Richard Finney

	 	
 

6446360

	 	
 

9/10/02

	 	
 

4/9/21

	 	
 

09/829422

	 	
 

4/9/01

	
 

PACK BOOT WITH RETRACTABLE CRAMPONS

Inventor:  Sang Rok Seo

	 	
 

6360455

	 	
 

3/26/02

	 	
 

5/12/20

	 	
 

09/569643

	 	
 

5/12/00

	
 

WATERPROOF BREATHABLE GLOVES

Inventors:  Chuck Dinatale

	 	
 

5682613

	 	
 

11/4/97

	 	
 

7/25/17

	 	
 

08/279958

	 	
 

7/25/94

	
 

SHOE SOLE (impact pod)

Inventor:  Mark Recchi

	 	
 

D507398S

	 	
 

7/19/05

	 	
 

7/19/19

	 	
 

29/205245

	 	
 

5/11/04

	
 

SHOE SOLE (retr)

Inventor:  Mark Recchi

	 	
 

D509346S

	 	
 

9/13/05

	 	
 

9/13/19

	 	
 

29/185759

	 	
 

7/1/03

	
 

SHOE SOLE (rk-v)

Inventor:  Mark Recchi

	 	
 

D507694S

	 	
 

7/26/05

	 	
 

7/26/19

	 	
 

29/185757

	 	
 

7/1/03

	
 

SHOE SOLE (ventor)

Inventor:  Mark Recchi

	 	
 

D498350

	 	
 

11/16/04

	 	
 

11/16/18

	 	
 

29/185801

	 	
 

7/1/03

    

  

  

  

 

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

No.

	 	
 

Filing Date

	
 

SHOE SOLE (rkt)

Inventor:  Mark Recchi

	 	
 

D498042

	 	
 

11/9/04

	 	
 

11/9/18

	 	
 

29/185758

	 	
 

7/1/03

	
 

SHOE SOLE (rk-z)

Inventor:  Mark Recchi

	 	
 

D495476

	 	
 

9/7/04

	 	
 

9/7/18

	 	
 

29/193649

	 	
 

11/12/03

	
 

SHOE SOLE (rk/ac)

Inventor:  Mark Recchi

	 	
 

D489884

	 	
 

5/18/04

	 	
 

5/18/18

	 	
 

29/181678

	 	
 

5/14/03

	
 

SHOE SOLE (polar trac)

Inventor:  Mark Recchi

	 	
 

D489881

	 	
 

5/18/04

	 	
 

5/18/18

	 	
 

29/185794

	 	
 

7/1/03

	
 

SOLE SOLE (sawblade)

Inventor:  Mark Recchi

	 	
 

D478714

	 	
 

8/26/03

	 	
 

8/26/17

	 	
 

29/157533

	 	
 

3/21/02

	
 

SHOE SOLE

Inventor:  Mark Recchi

	 	
 

D474586

	 	
 

5/20/03

	 	
 

5/20/17

	 	
 

29/163315

	 	
 

7/2/02

	
 

SHOE SOLE (rkl outsole)

Inventor:  Mark Recchi

	 	
 

D471696

	 	
 

3/18/03

	 	
 

3/18/17

	 	
 

29/156225

	 	
 

2/26/02

	
 

SHOE SOLE (bobcat outsole)

Inventors:  Mark Recchi, Allen Sheets

	 	
 

D468517

	 	
 

1/14/03

	 	
 

1/14/17

	 	
 

29/156224

	 	
 

2/26/02

	
 

SHOE SOLE (knobby outsole)

Inventors:  Mark Recchi, Allen Sheets

	 	
 

D468081

	 	
 

1/7/03

	 	
 

1/7/17

	 	
 

29/156254

	 	
 

2/26/02

	
 

SHOE UPPER (7590)

Inventors:  Richard Finney

	 	
 

D467715

	 	
 

12/31/02

	 	
 

12/31/16

	 	
 

29/149427

	 	
 

10/10/01

	
 

SHOE SOLE

Inventors:  Jamie Zimmer, Allen Sheets

	 	
 

D448147

	 	
 

9/25/01

	 	
 

9/25/15

	 	
 

29/136811

	 	
 

2/7/01

	
 

BOOT UPPER WITH DETACHABLE HOLSTER

Inventors:  James R. Carey, Charles S. Brooks

	 	
 

D447619

	 	
 

9/11/01

	 	
 

9/11/15

	 	
 

29/130656

	 	
 

10/4/00

	
 

SHOE UPPER

Inventors:  Denis Norton, Diana A. Wurfbain

	 	
 

D424797

	 	
 

5/16/00

	 	
 

5/16/14

	 	
 

29/092425

	 	
 

8/19/98

 

  

  

  

 

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

No.

	 	
 

Filing Date

	
 

SHOE UPPER

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D422783

	 	
 

4/18/00

	 	
 

4/18/14

	 	
 

29/098204

	 	
 

12/23/98

	
 

SHOE SOLE

Inventors:  Denis Norton, Diana A. Wurfbain

	 	
 

D412777

	 	
 

8/17/99

	 	
 

8/17/13

	 	
 

29/092423

	 	
 

8/19/98

	
 

SHOE UPPER

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D410141

	 	
 

5/25/99

	 	
 

5/25/13

	 	
 

29/080764

	 	
 

12/15/97

	
 

SHOE UPPER (7258)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D407198

	 	
 

3/30/99

	 	
 

3/30/13

	 	
 

29/080749

	 	
 

12/15/97

	
 

SHOE UPPER (7562)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D407197

	 	
 

3/30/99

	 	
 

3/30/13

	 	
 

29/077174

	 	
 

9/29/97

	
 

SHOE UPPER (911-139)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D407196

	 	
 

3/30/99

	 	
 

3/30/13

	 	
 

29/077173

	 	
 

9/29/97

	
 

SHOE SOLE (prohunter)

Inventors:  Denis Norton, Diana A. Wurfbain

	 	
 

D402798

	 	
 

12/22/98

	 	
 

12/22/12

	 	
 

29/084098

	 	
 

2/24/98

	
 

SHOE UPPER (844)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D402099

	 	
 

12/8/98

	 	
 

12/8/12

	 	
 

29/077188

	 	
 

9/29/97

	
 

SHOE SOLE (bear claw)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D401746

	 	
 

12/1/98

	 	
 

12/1/12

	 	
 

29/058393

	 	
 

8/14/96

	
 

SHOE UPPER (8444)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D401401

	 	
 

11/24/98

	 	
 

11/24/12

	 	
 

29/077641

	 	
 

9/29/97

  

  

  

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

No.

	 	
 

Filing Date

	
 

SHOE UPPER (9163)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D401400

	 	
 

11/24/98

	 	
 

11/24/12

	 	
 

29/077187

	 	
 

9/29/97

	
 

SHOE UPPER (1761)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D400699

	 	
 

11/10/98

	 	
 

11/10/12

	 	
 

29/073407

	 	
 

7/8/97

	
 

SHOE SOLE (alpha)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D395742

	 	
 

7/7/98

	 	
 

7/7/12

	 	
 

29/054776

	 	
 

5/21/96

	
 

SHOE SOLE (tuff terrainer)

Inventors:  Diana A. Wurfbain, Theodore A. Kastner

	 	
 

D394542

	 	
 

5/26/98

	 	
 

5/26/12

	 	
 

29/054777

	 	
 

5/21/96

	
 

SHOE UPPER

(winter trails nylon)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D386294

	 	
 

11/18/97

	 	
 

11/18/11

	 	
 

29/055442

	 	
 

6/4/96

	
 

SHOE UPPER

(winter trails propex)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D386293

	 	
 

11/18/97

	 	
 

11/18/11

	 	
 

29/055441

	 	
 

6/4/96

	
 

SHOE UPPER

(winter trails leather)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D386292

	 	
 

11/18/97

	 	
 

11/18/11

	 	
 

29/055440

	 	
 

6/4/96

	
 

SHOE UPPER

(winter trails eco pile)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D385992

	 	
 

11/11/97

	 	
 

11/11/11

	 	
 

29/055444

	 	
 

6/4/96

	
 

SHOE UPPER (outback sizzler)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D385991

	 	
 

11/11/97

	 	
 

11/11/11

	 	
 

29/055443

	 	
 

6/4/96

   

  

  

  

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

No.

	 	
 

Filing Date

	
 

SHOE UPPER (tuff terrainer)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D384195

	 	
 

9/30/97

	 	
 

9/30/11

	 	
 

29/054747

	 	
 

5/21/96

	
 

SHOE UPPER

(tuff terrainer oxford)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D380891

	 	
 

7/15/97

	 	
 

7/15/11

	 	
 

29/054739

	 	
 

5/21/96

	
 

SHOE UPPER (alpha boot)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D380599

	 	
 

7/8/97

	 	
 

7/8/11

	 	
 

29/054748

	 	
 

5/21/96

	
 

SHOE UPPER

(stalker expedition)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D380598

	 	
 

7/8/97

	 	
 

7/8/11

	 	
 

29/054742

	 	
 

5/21/96

	
 

SHOE UPPER (prof demi boot)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D380597

	 	
 

7/8/97

	 	
 

7/8/11

	 	
 

29/054740

	 	
 

5/21/96

	
 

SHOE UPPER (outback oxford)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D380596

	 	
 

7/8/97

	 	
 

7/8/11

	 	
 

29/054741

	 	
 

5/21/96

	
 

SHOE UPPER

(snow stalker extreme)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D376684

	 	
 

12/24/96

	 	
 

12/24/10

	 	
 

29/035556

	 	
 

3/2/95

	
 

SHOE UPPER

(snow stalker hunter)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D369019

	 	
 

4/23/96

	 	
 

4/23/10

	 	
 

29/035560

	 	
 

3/2/95

 

  

  

  

   

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

No.

	 	
 

Filing Date

	
 

SHOE UPPER (winter trails)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D369018

	 	
 

4/23/96

	 	
 

4/23/10

	 	
 

29/035559

	 	
 

3/2/95

	
 

SHOE UPPER (snow stalker)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D368797

	 	
 

4/16/96

	 	
 

4/16/10

	 	
 

29/035563

	 	
 

3/2/95

	
 

SHOE UPPER (super stalker)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D368361

	 	
 

4/2/96

	 	
 

4/2/10

	 	
 

29/029890

	 	
 

10/18/94

	
 

SHOE UPPER (the brute)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D367354

	 	
 

2/27/96

	 	
 

2/27/10

	 	
 

29/031067

	 	
 

11/16/94

	
 

SHOE UPPER (outback khaki)

Inventors:  Mike Brooks, Edgar H. Simpson, Theodore A. Kastner, Diana A. Wurfbain

	 	
 

D367165

	 	
 

2/20/96

	 	
 

2/20/10

	 	
 

29/031068

	 	
 

11/16/94

ROCKY BRANDS, INC. (formerly ROCKY SHOES & BOOTS, INC.)

FEDERAL COPYRIGHT APPLICATIONS AND REGISTRATIONS

	
 

Title of Work

	 	
 

Reg. No.

	 	
 

Reg. Date

	 	
 

Comments

	
 

Rocky Ram

	 	
 

VA-810-954

	 	
 

8/26/96

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

Rocky Shoes & Boots Partnering for Wildlife Conservation

	 	
 

VA 1-239-611

	 	
 

7/28/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

  

  

  

ROCKY BRANDS, INC. (formerly EJ FOOTWEAR LLC)

FEDERAL TRADEMARK APPLICATIONS AND REGISTRATIONS

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

ADVANTA-FLEX

	 	
 

Ser. No. 76/435112

Reg. No. 2783005

	 	
 

Filed 7/29/02

Reg 11/11/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

ASTRO

and Design

	 	
 

Ser. No. 72/301213

Reg. No. 862801

	 	
 

Filed 6/24/68

Reg 12/31/68

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

BARCLAY (stylized)

	 	
 

Ser. No. 71/550334

Reg. No. 516495

	 	
 

Filed 2/21/48

Reg 10/18/49

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

BEACON STRATEGIC RESOURCING

	 	
 

Ser. No. 76/362852

Reg. No. 2759986

	 	
 

Filed 1/24/02

Reg 9/2/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

BOOTS UNLIMITED

	 	
 

Ser. No. 76/203030

Reg. No. 2515098

	 	
 

Filed 1/31/01

Reg 12/4/01

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

CHIEFTAN

	 	
 

Ser. No. 72/248946

Reg. No. 831865

	 	
 

Filed 6/27/66

Reg 7/11/67

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

COOL NOTES (stylized)

	 	
 

Ser. No. 72/245916

Reg. No. 826943

	 	
 

Filed 5/18/66

Reg 4/4/67

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

EJ

and Design

	 	
 

Ser. No. 73/742972

Reg. No. 1530972

	 	
 

Filed 7/29/88

Reg 3/21/89

	 	
 

Assigned from Endicott Johnson Corporation 7/11/00

	
 

FARM MASTERS

	 	
 

Ser. No. 73/365988

Reg. No. 1250453

	 	
 

Filed 5/24/82

Reg 9/6/83

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

FLX-POINT

	 	
 

Ser. No. 76/470052

Reg. No. 2789949

	 	
 

Filed 11/25/02

Reg 12/2/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

PARACORD (stylized)

	 	
 

Ser. No. 71/277699

Reg. No. 256338

	 	
 

Filed 1/8/29

Reg 5/14/29

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

PARACREPE (stylized)

	 	
 

Ser. No. 71/225084

Reg. No. 212124

	 	
 

Filed 12/23/25

Reg 4/27/26

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

PONDEROSA

	 	
 

Ser. No. 72/189568

Reg. No. 781810

	 	
 

Filed 3/25/64

Reg 12/15/64

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

 

  

  

  

 

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

SIGNATURE TOUR QUALITY FOOTWEAR

and Design

	 	
 

Ser. No. 73/678670

Reg. No. 1504024

	 	
 

Filed 8/17/87

Reg 9/13/88

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SPORTSET

	 	
 

Ser. No. 72/289087

Reg. No. 871822

	 	
 

Filed 1/18/68

Reg 6/24/69

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

TORQUE SUSPENSION SYSTEM

	 	
 

Ser. No. 76/478609

Reg. No. 2801594

	 	
 

Filed 12/27/02

Reg 12/30/03

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

TRAIL KING

	 	
 

Ser. No. 72/306050

Reg. No. 873081

	 	
 

Filed 8/27/68

Reg 7/15/69

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

ROCKY BRANDS, INC. (formerly EJ FOOTWEAR LLC)

FEDERAL PATENTS AND PATENT APPLICATIONS

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

No.

	 	
 

Filing Date

	
 

OUTSOLE

Inventor:  Jeffrey Raymond Rake

	 	
 

D447856

	 	
 

9/18/01

	 	
 

9/18/15

	 	
 

29/982

	 	
 

1/22/01

   

ROCKY BRANDS WHOLESALE LLC (formerly GEORGIA BOOT LLC)

FEDERAL TRADEMARK APPLICATIONS AND REGISTRATIONS

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

ARCTIC TOE

	 	
 

Ser. No. 76/212102

Reg. No. 2664307

	 	
 

Filed 2/20/01

Reg 12/17/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

BARNSTORMERS

and Design

	 	
 

Ser. No. 75/605525

Reg. No. 2421991

	 	
 

Filed 12/7/98

Reg 1/16/01

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

CLIMATRAC

 

	 	
 

Ser. No. 76/579105

Reg. No. 2978004

	 	
 

Filed 3/4/04

Reg. 7/26/05

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

COMFORT CORE

	 	
 

Ser. No. 74/175689

Reg. No. 1689129

	 	
 

Filed 6/13/91

Reg 5/26/92

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

  

  

  

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

CONSTRUX

	 	
 

Ser. No. 76/606797

 

	 	
 

Filed 8/10/04

 

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

D.TECH

(stylized)

	 	
 

Ser. No. 75/544917

Reg. No. 2288942

	 	
 

Filed 8/31/98

Reg 10/26/99

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

DURANGO

	 	
 

Ser. No. 72/198549

Reg. No. 790751

	 	
 

Filed 7/27/64

Reg 6/8/65

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

DURANGO

and Design

	 	
 

Ser. No. 75/084007

Reg. No. 2304436

	 	
 

Filed 4/4/96

Reg 12/28/99

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

DURANGO

 

	 	
 

Ser. No. 75/712688

Reg. No. 2562205

	 	
 

Filed 5/24/99

Reg 4/16/02

	 	
 

Assigned from Georgia Boot Inc. 8/30/00

	
 

DURANGO

and Design

	 	
 

Ser. No. 75/912800

Reg. No. 2660084

	 	
 

Filed 2/8/00

Reg 12/10/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

FARM & RANCH

	 	
 

Ser. No. 74/294738

Reg. No. 1758465

	 	
 

Filed 7/16/92

Reg 3/16/93

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

FIELD LITE

	 	
 

Ser. No. 76/635028

Reg. No. 3133612

	 	
 

Filed 4/4/05

Reg. 8/22/06

	 	  
	
 

GEORGIA BOOT

	 	
 

Ser. No. 73/420215

Reg. No. 1333323

	 	
 

Filed 4/5/83

Reg 4/30/85

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

GEORGIA GIANT

	 	
 

Ser. No. 76/581605

 

	 	
 

Filed 3/17/04

 

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

GEORGIA WORKWEAR

	 	
 

Ser. No. 76/635029

 

	 	
 

Filed 4/4/05

 

	 	  
	
 

MUD DOG

and Design

	 	
 

Ser. No. 75/605540

Reg. No. 2421992

	 	
 

Filed 12/7/98

Reg 1/16/01

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

NORTHLAKE

	 	
 

Ser. No. 73/215438

Reg. No. 1154957

	 	
 

Filed 5/14/79

Reg 5/19/81

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

PROTECH

(stylized)

	 	
 

Ser. No. 76/579106

Reg. No. 3052222

	 	
 

Filed 3/4/04

Reg. 1/31/06

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

  

  

  

 

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

SHADES OF THE OLD WEST

	 	
 

Ser. No. 74/294739

Reg. No. 1758466

	 	
 

Filed 7/16/92

Reg 3/16/93

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SNAKE RIVER

	 	
 

Ser. No. 74/541041

Reg. No. 1919870

	 	
 

Filed 6/22/94

Reg 9/19/95

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

X-10

	 	
 

Ser. No. 73/883183

 

	 	
 

Filed 5/15/06

 

	 	  

ROCKY BRANDS WHOLESALE LLC (formerly GEORGIA BOOT LLC)

FOREIGN TRADEMARK REGISTRATIONS

COMFORT CORE - (Canada)

 

COMFORT CORE - (Taiwan)

 

DURANGO - (Japan)

 

DURANGO BOOT (Canada)

 

DURANGO - (France)

 

DURANGO - (Switzerland)

 

DURANGO - (Canada)

 

DURANGO - (CTM)

 

FARM & RANCH - (Australia)

 

GEORGIA BOOT - (Portugal)

 

GEORGIA BOOT - (Spain)

 

GEORGIA BOOT - (Canada)

 

GEORGIA BOOT - (Italy)

 

GEORGIA BOOT and

Design (Large male character with

GEORGIA BOOT on the body) (Japan)

 

GEORGIA BOOT - (Norway)

 

GEORGIA BOOT - (CTM)

 

  

  

  

 

MUD DOG - (Canada)

(Stylized)

 

NORTHLAKE - (Canada)

 

NORTHLAKE - (France)

 

NORTHLAKE - (Germany)

 

NORTHLAKE - (Great Britain)

 

NORTHLAKE - (Italy)

 

NORTHLAKE - (Japan)

 

NORTHLAKE - (Norway)

 

NORTHLAKE - (Spain)

 

NORTHLAKE - (Switzerland)

 

NORTHLAKE - (Taiwan)

 

ROCKY BRANDS WHOLESALE LLC (formerly GEORGIA BOOT LLC)

FEDERAL PATENTS AND PATENT APPLICATIONS

	
 

Title

	 	
 

Patent No.

	 	
 

Issue Date

	 	
 

Exp

Date

	 	
 

App.

No.

	 	
 

Filing Date

	
 

SAFETY SHOE

Inventor:  David Mitchell

	 	
 

6581304

	 	
 

6/24/03

	 	
 

12/29/19

	 	
 

09/474179

	 	
 

12/29/99

	
 

SHOE WITH INSOLE AS PART SOLE FILLER AND METHOD OF MAKING SAME

Inventors:  Sven E. Oberg, David P. Mitchell

	 	
 

6560901

	 	
 

5/13/03

	 	
 

5/13/20

	 	
 

08/332275

	 	
 

10/31/94

	
 

FOOTWEAR WITH MOLDED WEB PLATFORM FOR ATTACHING OUTSOLE

Inventor:  David Mitchell

	 	
 

6338205

	 	
 

1/15/02

	 	
 

12/29/19

	 	
 

09/474224

	 	
 

12/29/99

	
 

SHOE WITH INSOLE AS PART SOLE FILLER AND METHOD OF MAKING SAME

Inventors:  Sven E. Oberg, David P. Mitchell

	 	
 

6321464

	 	
 

11/27/01

	 	
 

11/27/18

	 	
 

08/463843

	 	
 

6/5/95

	
 

CUSHIONED FOOTWEAR AND APPARATUS FOR MAKING THE SAME

Inventors:  William C. Johnson, Jr., William G. Thomas

	 	
 

6145220

	 	
 

11/14/00

	 	
 

11/22/15

	 	
 

08/562009

	 	
 

11/22/95

	
 

METHOD FOR PRECISELY PERFORATING AN OPENING IN FOOTWEAR

Inventors:  Howard A. Hoffman; Ronald E. Pottorff; Lavert F. Sneed; William G. Thomas

	 	
 

5924345

	 	
 

7/20/99

	 	
 

8/14/16

	 	
 

08/696618

	 	
 

8/14/96

	
 

OUTSOLE

Inventor:  David Mitchell

	 	
 

D493952

	 	
 

8/10/04

	 	
 

8/10/18

	 	
 

29/164377

	 	
 

7/22/02

  

  

  

U.S. Patent Application No. 09/977463 (Boot with oversized toe box for thermal insulation)

 

U.S. Patent Application No. 11/009421 (Shoe with insole as part sole filler and method for making the same)**

 

U.S. Patent Application No. 10/799395 (Footwear with improved insole)

 

U.S. Design Patent Application No. 29/194,981 (Outsole)

ROCKY BRANDS WHOLESALE LLC (formerly GEORGIA BOOT LLC)

FOREIGN PATENTS

Canada Patent No. 2,188,847 (Cushioned footwear and apparatus for making the same )

 

Mexico Patent No. 204081 (Cushioned footwear and apparatus for making the same )

 

People’s Republic of China Patent No. ZL 96123386.9 (Cushioned footwear and apparatus for making the same )

 

Canada Patent No. 2,059,761 (Shoe with insole as part sole filler and method for making same)**

 

Mexico Patent No. 186564 (Shoe with insole as part sole filler and method for making same)**

 

People’s Republic of China Patent No.92100616 (Shoe with insole as part sole filler and method for making same)**

 

Taiwan Patent No. No. 056563 (Shoe with insole as part sole filler and method for making same)**

 

   

**owned jointly with RoSearch, Inc.

  

  

  

ROCKY BRANDS RETAIL LLC (formerly LEHIGH SAFETY SHOE CO. LLC)

FEDERAL TRADEMARK APPLICATIONS AND REGISTRATIONS

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

FIT FOR SAFETY

	 	
 

Ser. No. 75/823689

Reg. No. 2628723

	 	
 

Filed 10/15/99

Reg 10/1/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

FIT FOR WORK

	 	
 

Ser. No. 75/823688

Reg. No. 2565788

	 	
 

Filed 10/15/99

Reg 4/30/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

INDUSTRY WORKS IN LEHIGH SAFETY SHOES

	 	
 

Ser. No. 75/026492

Reg. No. 2011997

	 	
 

Filed 11/20/95

Reg 10/29/96

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

L

and Design

	 	
 

Ser. No. 76/610147

Reg. No. 3039424

	 	
 

Filed 9/1/04

Reg. 1/10/06

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

LEHIGH

	 	
 

Ser. No. 73/153033

Reg. No. 1103936

	 	
 

Filed 12/22/77

Reg 10/10/78

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

LEHIGH “FOOTSHIELDS” (stylized)

	 	
 

Ser. No. 72/023484

Reg. No. 658172

	 	
 

Filed 1/30/57

Reg 2/4/58

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

LOCKRIM

	 	
 

Ser. No. 72/178690

Reg. No. 783691

	 	
 

Filed 10/10/63

Reg 1/19/65

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

L.S.R.

(stylized)

	 	
 

Ser. No. 75/339713

Reg. No. 2201252

	 	
 

Filed 7/24/97

Reg 11/3/98

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

MIRA-LUG

	 	
 

Ser. No. 73/220929

Reg. No. 1159250

	 	
 

Filed 6/25/79

Reg 6/30/81

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

NUGUARD75

(stylized)

	 	
 

Ser. No. 73/741631

Reg. No. 1530662

	 	
 

Filed 7/22/88

Reg 3/21/89

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

PROMISE PLUS

	 	
 

Ser. No. 75/668090

Reg. No. 2395071

	 	
 

Filed 3/25/99

Reg 10/17/00

	 	
 

Assigned from Lehigh Safety Shoe Co. 6/17/02

	
 

SHIELD TOE

	 	
 

Ser. No. 75/273195

Reg. No. 2153691

	 	
 

Filed 3/24/97

Reg 4/28/98

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

  

  

  

	
 

Mark

	 	
 

Serial. No./Reg. No.

	 	
 

Filing Date/Reg. Date

	 	
 

Comments

	
 

SLIP GRIPS

	 	
 

Ser. No. 76/489562

Reg. No. 2891737

	 	
 

Filed 2/14/03

Reg 10/5/04

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

SWAMPERS

	 	
 

Ser. No. 76/063389

Reg. No. 2579908

	 	
 

Filed 6/1/00

Reg 6/11/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

	
 

US 1

and Design

	 	
 

Ser. No. 76/259815

Reg. No. 2565267

	 	
 

Filed 5/18/01

Reg 4/30/02

	 	
 

Assigned to GMAC Commercial Finance LLC 2/2/05

 

ROCKY BRANDS RETAIL LLC (formerly LEHIGH SAFETY SHOE CO.  LLC)

FEDERAL PATENTS AND PATENT APPLICATIONS

U.S. Patent Application No. 09/875, 542 (Metatarsal Guard)

 

ROCKY BRANDS RETAIL LLC (formerly LEHIGH SAFETY SHOE CO. LLC)

FOREIGN TRADEMARK REGISTRATIONS

FIT FOR WORK - (Canada)

 

FIT FOR SAFETY - (Canada)

 

LEHIGH - (Japan)

 

LEHIGH - (Mexico)

 

LEHIGH - (Taiwan)

 

LEHIGH - (China)

 

PROMISE PLUS - (Canada)

   

   

  

  

  

 

SCHEDULE 5.2(B)

Permitted Liens Schedule

	
A.

	
All Loan Parties

Liens on real estate in which a Loan Party is lessee

	
B.

	
Rocky Brands, Inc. (formerly Rocky Shoes & Boots, Inc.)

	
 

Secured Party

	 	
 

Collateral

	
GE Capital Business Asset Funding Corporation

	 	
Real Estate, fixtures and other property in connection with real properties in Athens County and Hocking County, Ohio, including without limitation that collateral further described in Financing Statement numbers AP0207801, AP0207802, AP0231440 filed with the Ohio Secretary of State, Financing Statement number 200000000069/200000000508 filed with the Hocking County, Ohio Recorder, Financing Statement numbers 20000000000-1/20000000000-2 and 20000000000-3 /20000000000-8 filed with the Athens County, Recorder, and in certain Open-End Mortgages, Security Agreements, Assignments of Rents and Leases and Fixture Filings in Hocking and Athens Counties.

	 	 	 
	
Chase Equipment Leasing

 

	 	
Specific leased equipment, including without limitation warehouse storage units and other collateral further described in Financing Statement numbers AP0163529 and AP0196827 filed with the Ohio Secretary of State and Financing Statement number199900000969/199900006769 filed with the Hocking County, Ohio Recorder.

	 	 	 
	
GMAC Business Credit LLC

	 	
All business assets

	 	 	 
	
American

	 	
Leased counter forming machine

	 	 	 
	
Worthern Industries

	 	
Leased glue machines

	 	 	 
	
W.L. Gore

	 	
Leased centrifugal testers ES & FS

	 	 	 
	
Ascom Hasler

	 	
Mail Machine Lease

	 	 	 
	
Xerox Capital Services LLC

	 	
DocuColor (2); D25OEF12 (2); WCP265 (3); WCP232 (5)

	
C.

	
Lifestyle Footwear, Inc.

	
GMAC Business Credit LLC

	 	
All business assets

	 	 	 
	
USM

	 	
Leased cement & seat side lasting and high speed stitch

	 	 	 
	
Manifest Funding

(International Absolute)

	 	
Leased ASHL-GPS machine

	 	 	 
	
W.L. Gore

	 	
Leased seam sealing w/auto tape cutter machines, bootie testing machines, centrifugal tester machine and boot dryer

	 	 	 
	
Pamco

	 	
Staple side laster; side heal seat laster; inseam trimmer

 

  

  

  

	
D.

	
Rocky Brands, Inc. (formerly EJ Footwear LLC)

	
Secured Party

	 	
Collateral

	
Pitney Bowes Credit Corporation

	 	
Leased equipment further described in Financing Statement number 1995001177 filed in Broome County, NY

	 	 	 
	
Ford Credit

	 	
Leased Ford Ranger truck, s/n 1FTYR44U74PA08512

	 	 	 
	
ComSource

	 	
Leased computer equipment described in Financing Statement number U1 1999 000721 filed in Broome County, NY

	 	 	 
	
DeLage Landen Financial Services, Inc.

	 	
Leased equipment

	 	 	 
	
Bank of America

	 	
Cash Collateral to secure Bank of America letter of credit in favor of Blue Cross Blue Shield

	 	 	 
	
Icon Financial

	 	
Canon Printers

	
E.

	
Rocky Brands Wholesale LLC (formerly Georgia Boot LLC)

	
Secured Party

	 	
Collateral

	
BSFS Equipment Leasing

	 	
Leased equipment under Lease #7119124, UCC file number 20888648 filed with the Delaware Secretary of State

	 	 	 
	
Ascom Hasler Leasing

	 	
Leased postage meter and mail scale

	 	 	 
	
Bell South

	 	
Leased telephone/MIS equipment

	
F.

	
Rocky Brands Retail LLC (formerly Lehigh Safety Shoe Co. LLC)

	
Secured Party

	 	
Collateral

	
Navistar Leasing Company Hardco Leasing Company, Inc.

	 	
Various leased motor vehicles

	 	 	 
	
Key Equipment Finance

	 	
Various leased motor vehicles

	 	 	 
	
Lease Plan USA

	 	
Various leased motor vehicles

   

  

  

  

SCHEDULE 6.1(K)

 

Deposit Accounts

 

Comerica Bank

P.O. Box 75000

Detroit, MI  48275-8149

 

	
Name on Account:

	  	
Rocky Brands, Inc.

	
Type of Account:

	  	
Comerica Operation Account

	
Account Number:

	  	  
	  	  	  
	
Name on Account:

	  	
Rocky Brands, Inc.

	
Type of Account:

	  	
Comerica Controlled Disbursement Account

	
Account Number:

	  	  
	  	  	  
	
Name on Account:

	  	
Rocky Brands, Inc.

	
Type of Account:

	  	
Comerica Cash Collateral Account

	
Account Number:

	  	  
	  	  	  
	
Name on Account:

	  	
Rocky Brands Retail LLC

	
Type of Account:

	  	
Comerica Controlled Disbursement Account

	
Account Number:

	  	  

First National Bank

11 Public Square

Nelsonville, OH  45764

	
Name on Account:

	 	
Rocky Brands, Inc.

	
Type of Account:

	 	
FNB Operating Account

	
Account Number:

	 	  
	  	 	  
	
Name on Account:

	 	
Rocky Brands, Inc.

	
Type of Account:

	 	
FNB Credit Card Account

	
Account Number:

	 	  
	  	 	  
	
Name on Account:

	 	
Rocky Brands, Inc. Payroll

	
Type of Account:

	 	
FNB Payroll Account

	
Account Number:

	 	  

Banco Popular

P.O. Box 362708

San Juan, Puerto Rico  00936-2708

	
Name on Account:

	 	
Lifestyle Footwear Inc.

	
Type of Account:

	 	
General Account

	
Account Number:

	 	  
	  	 	  
	
Name on Account:

	 	
Lifestyle Footwear Inc.

	
Type of Account:

	 	
Payroll Account

	
Account Number:

	 	  

  

  

  

HSBC Bank USA

243 Main Street

Johnson City, NY  13790

	
Name on Account:

	 	
Rocky Brands Retail LLC

	
Type of Account:

	 	
General Account

	
Account Number:

	 	  

Mellon Bank

Mellon Client Service Center

Room 154-1320

500 Ross Street

Pittsburgh, PA  15262-0001

	
Name on Account:

	 	
Rocky Brands Retail LLC

	
Type of Account:

	 	
Lockbox

	
Account Number:

	 	  

 

Rocky Brands Retail LLC (formerly Lehigh Safety Shoe Co. LLC) shoe center bank accounts:

 

(a)           1st National Bank of Scotia Account #

 

(b)           Associated Bank Account #

 

(c)           Banco Popular Bank Account #

 

	
  

	
(d)

	
Bank of America Account #s

 

(e)           Bank of Colorado Account #

 

(f)           Bank of Hawaii Account #s

 

(g)           Bank One Account #s

 

(h)           Centura Bank Account #

 

(i)           Chase Bank of Texas Account #

 

(j)           Citizens Bank Account #s

 

(k)           Citywide Bank Account #

 

(l)           Comerica Bank Account #

 

(m)           First Citizens Bank Account #s

 

(n)           First Midwest Bank Account #

 

  

  

  

 

(o)           Fleet Bank Account #s

 

(p)           Frontenac Bank Account #

 

(q)           Glen Falls National Bank Account #

 

(r)           Key Bank Account #

 

(s)           National City Bank Account #s

 

(t)           PNC Bank Account #

 

(u)           Southeast National Bank Account #

 

(v)           Sun Trust Bank Account #

 

(w)           Wachovia Account #s

 

(x)           Wells Fargo Account #s

 

(y)           Westsound Bank Account #s

 

(z)           Whitney National Bank Account #

 

(bb)         J.P. Morgan Chase Bank Account #

 

(cc)         Chase Bank #

 

(dd)         Anchor Bank #

 

(ee)          Regions Bank #s

 

(ff)           M&T Bank #

 

  

  

  

 

 SCHEDULE 6.1(Q)

Names and Locations

	
Name(s) / State of 

Incorporation / 

Organizational ID 

Number

	 	
 

 

 

Acquisitions

	 	
Principal Place of 

Business and 

Location of Books 

and Records

	 	
 

Other Offices

And

Locations of Collateral

	
Rocky Brands, Inc.

Ohio

821674

 

 

	 	
Purchase of certain assets from Gates-Mills, Inc. on 04/15/03

 

EJ Footwear LLC (“EJ”) merged into Rocky Brands, Inc. on 12/31/06 (EJ did business as Empire, Barclay, and Long Haul)

 

	 	
39 East Canal Street

Nelsonville, OH  45764

(owned)

 

 

 

	 	
29 Fayette Street

Nelsonville, OH  45764

(owned)

 

 

 

 

 

	
Lifestyle Footwear, Inc.

Delaware

2109896

	 	
None

	 	
Road 125 KM 3.8 BO Pueblo Industrial Park, Moca, PR  00676-0728

(leased manufacturing facility and office)

 

Books and Records:

39 East Canal Street

Nelsonville, Ohio 45764

 

	 	
None

  

  

  

	
Name(s) / State of 

Incorporation / 

Organizational ID 

Number

	 	
 

 

 

Acquisitions

	 	
Principal Place of 

Business and 

Location of Books 

and Records

	 	
 

Other Offices

And

Locations of Collateral

	
Rocky Brands Wholesale LLC

Delaware

3182983

	 	
Georgia Boot Properties LLC, Durango Boot Company LLC, and Northlake Boot Company LLC merged into Georgia Boot LLC (“Georgia Boot”), with name change to Rocky Brands Wholesale LLC on 12/31/06 (Georgia Boot did business as Durango, Georgia Boot, Long Haul, Northlake)

	 	
235 Noah Drive

Franklin, TN  37064

(leased office)

	 	
37601 Rocky Boots Way

Logan, OH  43138

(owned warehouse)

   

Denver Merchandise Mart

451 East 58th Street

Showroom 3529&4435

Denver, CO  80216

(leased showroom)

	 	 	 	 	 	 	 
	
Rocky Brands Retail LLC

Delaware

3182836

 

 

	 	
Lehigh Safety Shoe Properties LLC and HM Lehigh Safety Shoe Co. LLC merged into Lehigh Safety Shoe Co. LLC (“Lehigh”), with name change to Rocky Brands Retail LLC on 12/31/06 (Lehigh did business as Lehigh Safety Shoe Company)

 

	 	
120 Plaza Dr.

Vestal, NY

(leased office)

	 	
45 East Canal Street

Nelsonville, OH  45764

(owned retail space)

  

901 Franklin Street East

Endicott, NY  13761

(owned)

   

See also Item D(2) of Schedule 4.1(Q) for listing of leased retail store locations.

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