ROTH GORDON J 4

4 · Roth CH Acquisition III Co · Filed Mar 8, 2021

Form 4

Period: 2021-03-05

Chief Financial Officer10% Owner

Transactions

Purchase
Common Stock
2021-03-05$10.00/sh+11,477$114,770→ 92,352 total
Purchase
Warrants to purchase Common Stock
2021-03-05+17,646→ 17,646 total(indirect: See Footnote)
Exercise: $11.50→ Common Stock (17,646 underlying)
Purchase
Warrants to purchase Common Stock
2021-03-05+3,161→ 3,161 total(indirect: See Footnote)
Exercise: $11.50→ Common Stock (3,161 underlying)
Purchase
Common Stock
2021-03-05$10.00/sh+12,643$126,430→ 12,643 total(indirect: See Footnote)
Purchase
Warrants to purchase Common Stock
2021-03-05+2,869→ 2,869 total
Exercise: $11.50→ Common Stock (2,869 underlying)
Purchase
Common Stock
2021-03-05$10.00/sh+70,584$705,840→ 567,961 total(indirect: See Footnote)

Footnotes (7)

[F1]The reporting person acquired units, consisting of shares and warrants.
[F2]Consists of shares owned by CR Financial Holdings, Inc. over which Byron Roth and Gordon Roth have voting and dispositive power.
[F3]Consists of shares owned by Roth Capital Partners, LLC. Byron Roth and Gordon Roth, both members of Roth Capital Partners, LLC, have voting and dispositive power over the shares held by Roth Capital Partners, LLC.
[F4]The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.
[F5]The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.
[F6]Consists of warrants owned by CR Financial Holdings, Inc. over which Byron Roth and Gordon Roth have voting and dispositive power.
[F7]Consists of warrants owned by Roth Capital Partners, LLC. Byron Roth and Gordon Roth, both members of Roth Capital Partners, LLC, have voting and dispositive power over the shares held by Roth Capital Partners, LLC.

Documents

1 file