Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
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- Peter Lynch
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
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Rocky Mountain Chocolate Factory, Inc. (Name of Issuer) |
Common Stock, $0.001 par value per share (Title of Class of Securities) |
77467X101 (CUSIP Number) |
American Heritage Railways 479 Main Avenue, Durango, CO, 81301-5421 970-259-0274 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) |
05/07/2026 (Date of Event Which Requires Filing of This Statement) |
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
The information required on 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).
SCHEDULE 13D
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| CUSIP No. | 77467X101 |
| 1 |
Name of reporting person
American Heritage Railways, Inc. | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
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| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
WC | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
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| 6 | Citizenship or place of organization
FLORIDA
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
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| 11 | Aggregate amount beneficially owned by each reporting person
810,459.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
| ||||||||
| 13 | Percent of class represented by amount in Row (11)
8.7 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
CO |
Comment for Type of Reporting Person:
* Percentage calculated is based on 9,332,822 shares of common stock, par value $0.001 per share outstanding as of January 8, 2026, as reported in the Form 10-Q for the fiscal quarter ended November 30, 2025, of Rocky Mountain Chocolate Factory, Inc.
SCHEDULE 13D
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| CUSIP No. | 77467X101 |
| 1 |
Name of reporting person
Harper Allen C | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
| ||||||||
| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
OO | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
| ||||||||
| 6 | Citizenship or place of organization
UNITED STATES
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 11 | Aggregate amount beneficially owned by each reporting person
812,370.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
| ||||||||
| 13 | Percent of class represented by amount in Row (11)
8.7 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
IN |
Comment for Type of Reporting Person:
* Percentage calculated is based on 9,332,822 shares of common stock, par value $0.001 per share outstanding as of January 8, 2026, as reported in the Form 10-Q for the fiscal quarter ended November 30, 2025, of Rocky Mountain Chocolate Factory, Inc.
SCHEDULE 13D
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| Item 1. | Security and Issuer | |
| (a) | Title of Class of Securities:
Common Stock, $0.001 par value per share | |
| (b) | Name of Issuer:
Rocky Mountain Chocolate Factory, Inc. | |
| (c) | Address of Issuer's Principal Executive Offices:
265 TURNER DRIVE, 265 TURNER DRIVE, DURANGO,
COLORADO
, 80202. | |
Item 1 Comment:
This Amendment No. 1 ("Amendment No. 1") relates to the Statement of Beneficial Ownership on Schedule 13D filed by American Heritage Railways, Inc. and Allen C. Harper (each, a "Reporting Person," and collectively, the "Reporting Persons") with the Securities and Exchange Commission (the "SEC") on August 28, 2024 (the "Original Filing"), and as amended by this Amendment No. 1, the "Schedule 13D") and relates to shares of Common Stock, $0.001 par value per share (the "Common Stock"), of Rocky Mountain Chocolate Factory, Inc., a Delaware corporation (the "Company" or "Issuer"). Capitalized terms used but not defined in this Amendment have the meanings given to such terms in the Original Filing. Except as set forth herein, the Original Filing is unmodified. | ||
| Item 2. | Identity and Background | |
| (c) | Item 2(c) is hereby amended as follows: Allen C. Harper no longer serves in any capacity of the Company. The principal occupation of Allen C. Harper is a private investor. | |
| Item 4. | Purpose of Transaction | |
The transactions described below ae reported for purposes of Item 5(c). On February 19, 2026, the Reporting Person sold 2,000 shares at an average price of $2.6191 per share. On February 20, 2026, the Reporting Person sold 7,499 shares at an average price of $2.6015 per share. On February 25, 2026, the Reporting Person sold 430 shares at an average price of $2.601 per share. On February 26, 2026, the Reporting Person sold 18,715 shares at an average price of $2.6067 per share. On February 27, 2026, the Reporting Person sold 5,241 shares at an average price of $2.60 per share. On March 4, 2026, the Reporting Person sold 11,297 shares at an average price of $2.60 per share. On March 5, 2026, the Reporting Person sold 8,918 shares at an average price of $2.60 per share. On May 1, 2026, the Reporting Person sold 35,900 shares at an average price of $2.45 per share. On May 4, 2026, the Reporting Person sold 50,000 shares at an average price of $2.45 per share. On May 7, 2026, the Reporting Person sold 530 shares at an average price of $2.60 per share. On May 8, 2026, the Reporting Person sold 30,254 shares at an average price of $2.60 per share. On May 13, 2026, the Reporting Person sold 14,421 shares at an average price of $2.6027 per share. On May 14, 2026, the Reporting Person sold 4,336 shares at an average price of $2.60 per share. The purpose of these transactions was investment purposes. These transactions were conducted for portfolio management and investment purposes. The Reporting Person reserves the right to make further purchases or sales of the Issuer's securities depending on market conditions and other factors. | ||
| Item 5. | Interest in Securities of the Issuer | |
| (a) | Item 5 of the Original Schedule 13D is hereby amended and restated as follows: (a) As of the date of this Amendment, American Heritage Railways, Inc. beneficially owns 810,459 shares of Common Stock, representing approximately 8.68% of the Issuer's outstanding Common Stock. As of the date of this Amendment, Allen C. Harper beneficially owns 812,370 shares of Common Stock, representing approximately 8.70% of the Issuer's outstanding Common Stock. | |
| (b) | (b) American Heritage Railways, Inc. has shared voting and shared dispositive power with respect to 810,459 shares of Common Stock. Allen C. Harper has sole voting and sole dispositive power with respect to 1,911 shares of Common Stock and shared voting and shared dispositive power with respect to 810,459 shares of Common Stock. | |
| (c) | (c) The Reporting Person sold an aggregate of 189,541 shares of Common Stock in open-market transactions between February 19, 2026 and May 14, 2026 at prices ranging from $2.45 to $2.6191 per share. | |
| (d) | (d) Not applicable. | |
| (e) | (e) Not applicable. | |
| Item 7. | Material to be Filed as Exhibits. | |
Exhibit Number Description 1 Joint Filing Agreement, dated June 10, 2026 | ||
| 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.
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