Statement of Changes in Beneficial Ownership (4)
July 21 2021 - 5:48PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
LIPMAN JOHN C |
2. Issuer Name and Ticker or Trading Symbol
Roth CH Acquisition II Co
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ROCCU
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Operating Officer |
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(Last)
(First)
(Middle)
C/O ROTH CH ACQUISITION II CO., 888 SAN CLEMENTE DRIVE, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/21/2021 |
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(Street)
NEWPORT BEACH, CA 92660
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Warrants to purchase Common Stock | $11.50 | 7/21/2021 | | P | | 55000 (1) | | (2) | (3) | Common Stock | 55000 | $1.53 | 126826 | I | See Footnote (1) |
| Warrants to purchase Common Stock | $11.50 | 7/21/2021 | | P | | 70000 (4) | | (2) | (3) | Common Stock | 70000 (4) | $1.52 (4) | 196826 | I | See Footnote (4) |
| Explanation of Responses: |
| (1) | By Craig-Hallum 401(k) Profit Sharing Plan FBO John Lipman. |
| (2) | The warrants become exercisable 30 days after the consummation of the registrant's initial business combination. |
| (3) | 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. |
| (4) | This transaction was executed in multiple trades at prices ranging from $1.51 to $1.53. 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
LIPMAN JOHN C
C/O ROTH CH ACQUISITION II CO.
888 SAN CLEMENTE DRIVE, SUITE 400
NEWPORT BEACH, CA 92660 | X |
| Chief Operating Officer |
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Signatures
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| By: /s/ John Lipman | | 7/21/2021 |
| **Signature of Reporting Person | Date |
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