SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Under the Securities Exchange Act of 1934
SCHEDULE 13D
Amendment No. 6
CLYDE WM. ENGLE
(Name of person(s) filing Statement)
ROCKY MOUNTAIN CHOCOLATE FACTORY, INC.
(Name of Issuer)
Common Stock, $.03 par value per share
(Title of class of securities)
774678 40 3
(CUSIP Number)
Clyde Wm. Engle
4433 West Touhy Avenue
Lincolnwood, Illinois 60712 (847)675-2800
(Name, address and telephone number of person
authorized to receive notices and communications)
December 27, 1999
(Date of event which requires filing of this Statement)
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1. Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
CLYDE WM. ENGLE
2. Check the Appropriate Box if a Member of a Group (a) []
(b) []
3. SEC Use Only
4. Source of Funds
PF
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e) [XX ]
6. Citizenship or Place of Organization
USA
7. Sole Voting Power
344,587 Common Shares
8. Shared Voting Power
N/A
9. Sole Dispositive Power
344,587 Common Shares
10. Shared Dispositive Power
N/A
11. Aggregate Amount Beneficially Owned By Each Reporting Person
344,587 Common Shares
12. Check Box if the Aggregate Amount in Row (11) excludes Certain Shares [XX]
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13. Percent of Class Represented By Amount in Row (11)
13.26%
14. Type of Reporting Person
IN
ITEM 1. Security and Issuer.
The title of the class of equity securities to which this statement
relates is the shares of common stock, $.03 par value per share. The name and
address of the issuer of such securities is Rocky Mountain Chocolate Factory,
Inc. ("Rocky Mountain"), 265 Turner Drive, Durango, Colorado 81301.
ITEM 2. Identity and Background
(a)(b)(c) Clyde Wm. Engle, 4433 West Touhy Avenue, Lincoln-wood, Illinois
60712, is Chairman of the Board of Directors and Chief Executive Officer of RDIS
Corporation, Chairman of the Board of Directors, President and Chief Executive
Officer of Telco Capital Corporation, Chairman of the Board of Directors and
Chief Executive Officer of Sunstates Corporation, Chairman of the Board,
President and Chief Executive Officer of GSC Enterprises, Inc. and Chairman of
the Board and President of its subsidiary, Bank of Lincolnwood.
(d(e)Except as set forth below, Mr. Engle has not during the past five years
been convicted in a criminal proceeding of any sort (excluding traffic
violations and similar misdemeanors), or been subject to a judgment, decree or
final order enjoining future violations of, or prohibiting or mandating actions
subject to, federal or state securities laws or finding any violation with
respect to such laws.
Mr. Engle is subject of a Cease and Desist order dated October 7, 1993,
issued by the Securities and Exchange Commission (the "Commission") requiring
him and certain of his affiliates to permanently cease and desist from
committing any further violations of Section l6(a) of the Securities Exchange
Act of l934 as amended and the rules promulgated thereunder, which requires
monthly and other periodic reports of transactions in certain securities. The
Commission found some of the reports of such transactions to have been filed
delinquently although many of these transactions were between affiliated
entities or had been publicly reported in other reports filed with the
Commission or had been otherwise publicly announced.
ITEM 3 Source and Amount of Funds or Other Consideration.
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Mr. Engle purchased the subject shares out of personal funds.
ITEM 4. Purpose of Transaction.
The purpose of purchases of securities of Rocky Mountain by Mr. Engle
is for investment.
Mr. Engle intends to review continuously his position in Rocky Mountain
and may, depending upon his evaluation of Rocky Mountain's business and
prospects as well as upon future developments and upon price, availability of
shares and other factors, determine to increase, decrease or eliminate his
position in Rocky Mountain.
Mr. Engle is not considering any plans or proposals which relate to or
would result in:(a) the acquisition by any person of additional securities of
the issuer, or the disposition of securities of the issuer; (b) an extraordinary
corporate transaction, such as a merger, reorganization, or liquidation,
involving Rocky Mountain or any of its subsidiaries; (c) a sale or transfer of a
material amount of assets of Rocky Mountain or any of its subsidiaries;(d) any
change in Rocky Mountain's Board of Directors or management; (e) any material
change in the present capitalization or dividend policy of Rocky Mountain; (f)
any material change in Rocky Mountain's business, corporate structure, charter
or by-laws; (g) any change which would impede the acquisition of control of
Rocky Mountain by any person; (h) any class of securities of Rocky Mountain
being delisted or ceasing to be authorized to be quoted; (i) Rocky Mountain
common stock being eligible for termination of registration under Sec. 12(g)(4)
of the Securities Exchange Act of l934; or (j) any action similar to those
enumerated above.
ITEM 5. Interest in Securities of the Issuer.
(a) Mr. Engle owns directly 215,857 shares of common stock of Rocky
Mountain, and in addition owns indirectly 128,730 shares through an affiliated
company.
(b) In addition to the shares owned by Mr. Engle, a further 10,000
shares of Rocky Mountain common stock are owned beneficially by members of Mr.
Engle's immediate family; Mr. Engle disclaims any beneficial interest in these
shares.
(c) During the past 60 days, Mr. Engle acquired shares of Rocky
Mountain Chocolate Factory common stock on the dates and for the consideration
set forth below:
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No.of Shares Price Date Transaction
100,500 $5.75 Dec 27 Private purchase
10,000 5.4313 Dec 15 Open Mkt purchase
5,000 5.5 Dec 16 Open Mkt purchase
2,900 5.24 Dec 28 Open Mkt purchase
2,000 5.25 Dec 29 Open Mkt purchase
1,100 5.25 Dec 31 Open Mkt purchase
ITEM 6. Contracts, Arrangements or Understandings with Respect to Securities of
the Issuer.
NONE
ITEM 7. Materials to be Filed as Exhibits.
(a) NONE
SIGNATURES
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.
Dated: January 6, 2000
CLYDE WM. ENGLE
/S/ CLYDE WM. ENGLE
