LIPMAN JOHN C 4
4 · Roth CH Acquisition II Co · Filed Jun 21, 2021
Insider Transaction Report
Form 4
LIPMAN JOHN C
DirectorChief Operating Officer
Transactions
- Purchase
Warrants to purchase Common Stock
2021-06-18$1.52/sh+5,000$7,600→ 71,826 total(indirect: See Footnote)Exercise: $11.50→ Common Stock (5,000 underlying) - Purchase
Warrants to purchase Common Stock
2021-06-18$1.52/sh+10,000$15,200→ 62,992 total(indirect: See Footnote)Exercise: $11.50→ Common Stock (10,000 underlying) - Purchase
Warrants to purchase Common Stock
2021-06-18$1.52/sh+20,000$30,400→ 32,992 total(indirect: See Footnote)Exercise: $11.50→ Common Stock (20,000 underlying) - Purchase
Warrants to purchase Common Stock
2021-06-18$1.52/sh+10,000$15,200→ 42,992 total(indirect: See Footnote)Exercise: $11.50→ Common Stock (10,000 underlying) - Purchase
Warrants to purchase Common Stock
2021-06-18$1.51/sh+10,000$15,100→ 52,992 total(indirect: See Footnote)Exercise: $11.50→ Common Stock (10,000 underlying) - Purchase
Warrants to purchase Common Stock
2021-06-18$1.52/sh+3,834$5,828→ 66,826 total(indirect: See Footnote)Exercise: $11.50→ Common Stock (3,834 underlying)
Footnotes (8)
- [F1]By Craig-Hallum 401(k) Profit Sharing Plan FBO John Lipman.
- [F2]The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.
- [F3]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.
- [F4]By the reporting person's wife, S.L.
- [F5]This transaction was executed in multiple trades at prices ranging from $1.465 to $1.5165. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. The securities are held for C.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.
- [F6]The securities are held for E.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.
- [F7]This transaction was executed in multiple trades at prices ranging from $1.5199 to $1.52. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.
- [F8]Represents shares held of record by the reporting person's wife's Individual Retirement Account.