Gordon J. Roth - 23 May 2023 Form 4 Insider Report for Roth CH Acquisition IV Co. (TYGO)

Role
former officer
Signature
/s/ Gordon Roth
Issuer symbol
TYGO
Transactions as of
23 May 2023
Net transactions value
$0
Form type
4
Filing time
25 May 2023, 17:44:17 UTC
Previous filing
06 Dec 2021
Next filing
12 Dec 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TYGO Common Stock Sale -61,273 -62% 37,537 23 May 2023 Direct F1
transaction TYGO Common Stock Sale -472,852 -62% 289,676 23 May 2023 See footnote F2
transaction TYGO Common Stock Sale -7,872 -92% 696 23 May 2023 See footnote F3

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 TYGO Warrants to purchase common stock Sale -6,278 -92% 555 23 May 2023 Common Stock 6,278 $11.50 Direct F1, F4, F5
transaction TYGO Warrants to purchase common stock Sale -48,451 -92% 4,285 23 May 2023 Common Stock 48,451 $11.50 See footnote F2, F4, F5
transaction TYGO Warrants to purchase common stock Sale -3,936 -92% 348 23 May 2023 Common Stock 3,936 $11.50 See footnote F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Gordon J. Roth is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
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.