SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 4)*
Rocky Shoes & Boots, Inc.
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(Name of Issuer)
common stock, without par value
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(Title of Class of Securities)
774830 10 3
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(Cusip Number)
Check the following if a fee is being paid with this statement ___. (A fee
is not required only if the filing person:
(1) has a previous statement on file reporting beneficial ownership of
more than five percent of the class of securities described in Item 1;
and (2) has filed no amendment subsequent thereto reporting beneficial
ownership of five percent or less of such class.) (See Rule 13d-7.)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that
section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
(Continued on the following page(s)
Page 1 of 8 pages
SCHEDULE 13G
CUSIP NO. 774830 10 3 PAGE 4 OF 8 PAGES
- -----------------------------------------------------------------------------------------------------------
| 1 | NAME OF REPORTING PERSON |
| | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
| | |
| | Jay W. Brooks |
|-----|---------------------------------------------------------------------------------------------------|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] |
| | ----- |
| | (b) [ ] |
| | ----- |
|-----|---------------------------------------------------------------------------------------------------|
| 3 | SEC USE ONLY |
| | |
|-----|---------------------------------------------------------------------------------------------------|
| 4 | SOURCE OF FUNDS* |
| | |
| | |
| | |
| | |
|-----|---------------------------------------------------------------------------------------------------|
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT |
| | TO ITEMS 2(d) OR 2(e) [ ] |
| | ---- |
| | |
| | |
|-----|---------------------------------------------------------------------------------------------------|
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION |
| | |
| | United States of America |
|-------------------------------|-------|-----------------------------------------------------------------|
| NUMBER OF | 7 | SOLE VOTING POWER |
| | | |
| SHARES | | 231,180 |
| |-------|-----------------------------------------------------------------|
| BENEFICIALLY | 8 | SHARED VOTING POWER |
| | | |
| OWNED BY | | 0 |
| |-------|-----------------------------------------------------------------|
| EACH | 9 | SOLE DISPOSITIVE POWER |
| | | |
| REPORTING | | |
| | | 231,180 |
| PERSON |-------|-----------------------------------------------------------------|
| | 10 | SHARED DISPOSITIVE POWER |
| WITH | | |
| | | 0 |
|-------------------------------|-------|-----------------------------------------------------------------|
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| | |
| | 231,180 |
|-----|---------------------------------------------------------------------------------------------------|
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN |
| | SHARES* [ ] |
| | ---- |
|-----|---------------------------------------------------------------------------------------------------|
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| | |
| | 4.2% |
|-----|---------------------------------------------------------------------------------------------------|
| 14 | TYPE OF REPORTING PERSON* |
| | |
| | IN |
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Pages 4 of 8 pages
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
SCHEDULE 13G
Under the Securities and Exchange Act of 1934
(Amendment No. 4)
ITEM 1 (A). NAME OF ISSUER:
Rocky Shoes & Boots, Inc.
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ITEM 1 (B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
39 East Canal Street
Nelsonville, Ohio 45764
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ITEM 2 (A). NAMES OF PERSON FILING:
(i) Mike Brooks
(ii) Barbara Brooks Fuller
(iii) Jay W. Brooks
(iv) Patricia H. Robey
ITEM 2 (B). ADDRESS OF PRINCIPAL BUSINESS OFFICE:
Rocky Shoes & Boots, Inc.
39 East Canal Street
Nelsonville, Ohio 45764
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ITEM 2 (C). PLACE OF ORGANIZATION:
All of the persons filing are citizens of the United
States of America
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ITEM 2 (D). TITLE OF CLASS OF SECURITIES:
Common Stock, without par value
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ITEM 2 (E). CUSIP NUMBER:
774830 10 3
- -----------------------------------------------------------------------------
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR
13D - 2 (B), INDICATE TYPE OF PERSON FILING:
Item 3 is not applicable.
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Page 6 of 8 pages
ITEM 4. OWNERSHIP:
(a) Amount of Beneficially owned: Shares
(i) Mike Brooks: 432,337
(ii) Barbara Brooks Fuller: 282,148
(iii) Jay W. Brooks: 231,180
(iv) Patricia H. Robey: 159,665
(b) Percent of Class: %
(i) Mike Brooks: 7.8%
(ii) Barbara Brooks Fuller: 5.1%
(iii) Jay W. Brooks: 4.2%
(iv) Patricia H. Robey: 2.9%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote Shares
(A) Mike Brooks: 432,337
(B) Barbara Brooks Fuller: 282,148
(C) Jay W. Brooks: 231,180
(D) Patricia H. Robey: 159,665
(ii) Shared power to vote or to direct the vote 0
--------
(iii) Sole power to dispose or to direct the disposition of
(A) Mike Brooks: 432,337 Shares
(B) Barbara Brooks Fuller: 282,148 Shares
(C) Jay W. Brooks: 231,180 Shares
(D) Patricia H. Robey: 159,665 Shares
(iv) Shared power to dispose or to direct the disposition of 0
--------
ITEM 5. OWNERSHIP OF 5% OR LESS OF A CLASS:
(a) Jay W. Brooks: 4.2%
(b) Patricia H. Robey: 2.9%
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON:
Other persons are known to have the right to receive or
the power to direct the receipt of dividends or the
proceeds from the sale of these securities. Those persons
whose interest relates to more than five percent of the
class are:
Item 6 is not applicable
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARIES
WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE
PARENT HOLDING COMPANY:
Item 7 is not applicable
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE
GROUP:
Item 8 is not applicable
ITEM 9. NOTICE OF DISSOLUTION OF GROUP:
Item 9 is not applicable
Page 7 of 8 pages
ITEM 10. CERTIFICATION
Item 10 is not applicable.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
February 16, 1998 /s/ Mike Brooks
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Mike Brooks
February 16, 1998 /s/ Barbara Brooks Fuller
---------------------------------
Barbara Brooks Fuller
February 16, 1998 /s/ Jay W. Brooks
---------------------------------
Jay W. Brooks
February 16, 1998 /s/ Patricia H. Robey
---------------------------------
Patricia H. Robey
Page 8 of 8 pages