TIGO ENERGY, INC.|4Jun 16, 7:40 PM ET

Roth Byron 4

4 · TIGO ENERGY, INC. · Filed Jun 16, 2023

Form 4

Period: 2023-06-14

DirectorCo-CEO & Chairman of the Board10% Owner

Transactions

Purchase
Warrants to purchase common stock
2023-06-15$1.04/sh+45,208$46,912→ 145,208 total(indirect: See Footnote)
Exercise: $11.50From: 2023-06-22Exp: 2028-05-23→ Common Stock (45,208 underlying)
Purchase
Warrants to purchase common stock
2023-06-14$0.91/sh+100,000$90,520→ 100,000 total(indirect: See Footnote)
Exercise: $11.50From: 2023-06-22Exp: 2028-05-23→ Common Stock (100,000 underlying)

Holdings

Warrants to purchase common stock
(indirect: See Footnote)
Exercise: $11.50From: 2023-06-22Exp: 2028-05-23→ Common Stock (1,350 underlying)
1,350
Warrants to purchase common stock
(indirect: See Footnote)
Exercise: $11.50From: 2023-06-22Exp: 2028-05-23→ Common Stock (348 underlying)
348
Warrants to purchase common stock
Exercise: $11.50From: 2023-06-22Exp: 2028-05-23→ Common Stock (1,350 underlying)
1,350
Warrants to purchase common stock
(indirect: See Footnote)
Exercise: $11.50From: 2023-06-22Exp: 2028-05-23→ Common Stock (4,285 underlying)
4,285

Footnotes (6)

[F1]Represents a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.87 to $0.99, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F2]Represents a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.9999 to $1.05, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F3]Owned by Eight is Awesome, LLC, over which Byron Roth has voting and dispositive power.
[F4]Held in an IRA for the benefit of Byron Roth.
[F5]Owned by CR Financial Holdings, Inc., over which Byron Roth and Gordon Roth have voting and dispositive power.
[F6]Owned by Roth Capital Partners, LLC, over which Byron Roth and Gordon Roth have voting and dispositive power.

Documents

1 file