John C. Lipman - 18 Jun 2021 Form 4 Insider Report for Roth CH Acquisition II Co (RSVR)

Role
Chief Operating Officer, Director
Signature
By: /s/ John Lipman
Issuer symbol
RSVR
Transactions as of
18 Jun 2021
Net transactions value
+$89,328
Form type
4
Filing time
21 Jun 2021, 16:17:42 UTC
Next filing
21 Jul 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RSVRW Warrants to purchase Common Stock Purchase $30,400 +20,000 +154% $1.52 32,992 18 Jun 2021 Common Stock 20,000 $11.50 See Footnote F1, F2, F3
transaction RSVRW Warrants to purchase Common Stock Purchase $15,200 +10,000 +30% $1.52 42,992 18 Jun 2021 Common Stock 10,000 $11.50 See Footnote F2, F3, F4
transaction RSVRW Warrants to purchase Common Stock Purchase $15,100 +10,000 +23% $1.51 52,992 18 Jun 2021 Common Stock 10,000 $11.50 See Footnote F2, F3, F5
transaction RSVRW Warrants to purchase Common Stock Purchase $15,200 +10,000 +19% $1.52 62,992 18 Jun 2021 Common Stock 10,000 $11.50 See Footnote F2, F3, F6
transaction RSVRW Warrants to purchase Common Stock Purchase $5,828 +3,834 +6.1% $1.52 66,826 18 Jun 2021 Common Stock 3,834 $11.50 See Footnote F2, F3, F7
transaction RSVRW Warrants to purchase Common Stock Purchase $7,600 +5,000 +7.5% $1.52 71,826 18 Jun 2021 Common Stock 5,000 $11.50 See Footnote F2, F3, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.