UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM 11-K
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(Mark One)
[X] ANNUAL REPORT PURSUANT TO SECTION 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
FOR THE FISCAL YEAR ENDED FEBRUARY 28, 1997
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
FOR THE TRANSITION PERIOD FROM __________ TO __________
COMMISSION FILE NO. 0-14749
ROCKY MOUNTAIN CHOCOLATE FACTORY, INC.401(K) PLAN
(FULL TITLE OF PLAN AND ADDRESS OF PLAN IF DIFFERENT
FROM THAT OF ISSUER NAMED BELOW)
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ROCKY MOUNTAIN CHOCOLATE FACTORY, INC.
265 Turner Drive
Durango, Colorado 81301
(NAME OF ISSUER OF SECURITIES HELD PURSUANT TO THE PLAN
AND THE ADDRESS OF ITS PRINCIPAL EXECUTIVE OFFICE)
REQUIRED INFORMATION
The report filed as Exhibit 1 hereto (the "Plan Information") is
incorporated by reference herein in satisfaction of the financial statement
requirements of Form 11-K pursuant to Item 4 of Form 11-K. The Plan Information
has been prepared in accordance with the financial reporting requirements of
ERISA. ERISA (without regard to the limited scope exemption contained in
Section 103(a)(3)(C) thereof) does not require the Plan Information to be
examined by an independent accountant.
EXHIBITS
Exhibit
Number Description
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1 Return/Report of the Plan on Form 5500-R for the year ended
February 28, 1997
2 Form of Rocky Mountain Chocolate Factory, Inc. 401(k) Plan
(incorporated by reference to Exhibit 4.1 to the Company's
Registration Statement on Form S-8 (Registration No. 33-
79342) filed on May 25, 1994).
2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Administrator of the Rocky Mountain Chocolate Factory, Inc. 401(k) Plan has duly
caused this annual report to be signed on its behalf by the undersigned hereunto
duly authorized.
ROCKY MOUNTAIN CHOCOLATE FACTORY, INC.
401(K) PLAN
By: Rocky Mountain Chocolate Factory, Inc.,
Plan Administrator
Date: August 27, 1997 By: /s/ LAWRENCE C. REZENTES
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Lawrence C. Rezentes, Vice President-Finance
3
INDEX TO EXHIBITS
Exhibit
Number Description
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1 Return/Report of the Plan on Form 5500-R for the year ended
February 28, 1997
2 Form of Rocky Mountain Chocolate Factory, Inc. 401(k) Plan
(incorporated by reference to Exhibit 4.1 to the Company's
Registration Statement on Form S-8 (Registration No. 33-
79342) filed on May 25, 1994).
4