ROTH GORDON J 4
4 · Roth CH Acquisition IV Co. · Filed May 25, 2023
Insider Transaction Report
Form 4
ROTH GORDON J
Chief Financial Officer10% Owner
Transactions
- Sale
Warrants to purchase common stock
2023-05-23−6,278→ 555 totalExercise: $11.50→ Common Stock (6,278 underlying) - Sale
Common Stock
2023-05-23−61,273→ 37,537 total - Sale
Warrants to purchase common stock
2023-05-23−3,936→ 348 total(indirect: See footnote)Exercise: $11.50→ Common Stock (3,936 underlying) - Sale
Common Stock
2023-05-23−472,852→ 289,676 total(indirect: See footnote) - Sale
Common Stock
2023-05-23−7,872→ 696 total(indirect: See footnote) - Sale
Warrants to purchase common stock
2023-05-23−48,451→ 4,285 total(indirect: See footnote)Exercise: $11.50→ Common Stock (48,451 underlying)
Footnotes (5)
- [F1]The reporting person disposed of (i) 48,717 shares of common stock and (ii) 12,556 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $68,112.89.
- [F2]Owned by CR Financial Holdings, Inc., over which Byron Roth and Gordon Roth have voting and dispositive power. The reporting person disposed of (i) 375,950 shares of common stock and (ii) 96,902 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $525,645.94.
- [F3]Owned by Roth Capital Partners, LLC, over which Byron Roth and Gordon Roth have voting and dispositive power. The reporting person disposed of 7,872 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $42,700.76.
- [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.