<PAGE> 1
OMB APPROVAL
---------------------------
OMB Number: 3235-0145
Expires: October 31, 1997
Estimated average burden
hours per response....14.90
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.3 )
Rocky Shoes & Boots, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, without par value
- --------------------------------------------------------------------------------
(Title of Class of Securities)
774830 10 3
--------------
(CUSIP Number)
Check the following box 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).
<PAGE> 2
CUSIP NO. 774830 10 3 13G Page ____ of ____ Pages
------------
- -------------------------------------------------------------------------------
1 NAME OR 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 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
- -------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 303,180
SHARES -------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING OWNER
OWNED BY 0
EACH -------------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 303,180
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
303,180
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.0%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE> 3
CUSIP No. 774830 10 3
SCHEDULE 13G
ITEM 1.
(a) Name of Issuer: Rocky Shoes & Boots, Inc.
(b) Address of Issuer's Principal Executive Offices:
39 East Canal Street
Nelsonville, Ohio 45764
ITEM 2.
(a) Names of Persons Filing:
(i) Mike Brooks
(ii) Barbara Brooks Fuller
(iii) Jay W. Brooks
(iv) Patricia H. Robey
(b) Address of Principal Business Office for Each Person Filing:
Rocky Shoes & Boots, Inc.
39 East Canal Street
Nelsonville, Ohio 45764
(c) Citizenship:
All of the persons filing are citizens of the United States of
America.
(d) Title of Class of Securities:
Common Stock, without par value
(e) CUSIP Number: 774830 10 3
<PAGE> 4
ITEM 3.
Item 3 is not applicable.
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned:
(i) Mike Brooks: 463,669 Shares
(ii) Barbara Brooks Fuller: 324,500 Shares
(iii) Jay W. Brooks: 303,180 Shares
(iv) Patricia H. Robey: 258,470 Shares
(b) Percent of Class:
(i) Mike Brooks: 12.2%
(ii) Barbara Brooks Fuller: 8.6%
(iii) Jay W. Brooks: 8.0%
(iv) Patricia H. Robey: 6.8%
(c) Number of Shares as to Which Such Person Has:
(i) Sole power to vote or direct the vote:
(A) Mike Brooks: 463,669 Shares
(B) Barbara Brooks Fuller: 324,500 Shares
(C) Jay W. Brooks: 303,180 Shares
(D) Patricia H. Robey: 258,470 Shares
(ii) Shared power to vote or direct the vote: 0
(iii) Sole power to dispose or direct the disposition of:
(A) Mike Brooks: 463,669 Shares
<PAGE> 5
(B) Barbara Brooks Fuller: 324,500 Shares
(C) Jay W. Brooks: 303,180 Shares
(D) Patricia H. Robey: 258,470 Shares
(iv) Shared power to dispose or direct the disposition
of: 0
ITEM 5. OWNERSHIP OF 5% OR LESS OF A CLASS
Item 5 is not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON
Item 6 is not applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY 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.
ITEM 10. CERTIFICATION
Item 10 is not applicable.
<PAGE> 6
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 7, 1997 /s/ Mike Brooks
----------------------------
Mike Brooks
February 7, 1997 /s/ Barbara Brooks Fuller
----------------------------
Barbara Brooks Fuller
February 7, 1997 /s/ Jay W. Brooks
----------------------------
Jay W. Brooks
February 7, 1997 /s/ Patricia H. Robey
----------------------------
Patricia H. Robey
