0001104659-20-067171.txt : 20200528 0001104659-20-067171.hdr.sgml : 20200528 20200528174640 ACCESSION NUMBER: 0001104659-20-067171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200526 FILED AS OF DATE: 20200528 DATE AS OF CHANGE: 20200528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROTH GORDON J CENTRAL INDEX KEY: 0001160634 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39282 FILM NUMBER: 20922618 MAIL ADDRESS: STREET 1: 26 CORPORATE PLAZA CITY: NEWPORT BEACH STATE: CA ZIP: 92660 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Roth CH Acquisition I Co CENTRAL INDEX KEY: 0001796303 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 888 SAN CLEMENTE DRIVE, SUITE 400 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-887-0331 MAIL ADDRESS: STREET 1: 888 SAN CLEMENTE DRIVE, SUITE 400 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 4 1 tm2021247d10_form4.xml FORM 4 X0306 4 2020-05-26 0 0001796303 Roth CH Acquisition I Co ROCHU 0001160634 ROTH GORDON J C/O ROTH CH ACQUISITION I CO. 888 SAN CLEMENTE DRIVE, SUITE 400 NEWPORT BEACH CA 92660 0 1 0 0 Chief Financial Officer Common Stock 2020-05-26 4 P 0 115 10 A 84908 D Common Stock 2020-05-26 4 J 0 9375 0 D 75533 D Common Stock 2020-05-26 4 P 0 794 10 A 474307 I See footnote Common Stock 2020-05-26 4 J 0 45409 0 D 428898 I See footnote Warrants to purchase Common Stock 11.5 2020-05-26 4 P 0 86 A Common Stock 86 6937 D Warrants to purchase Common Stock 11.5 2020-05-26 4 P 0 595 A Common Stock 595 47695 I See footnote The reporting person acquired units, consisting of shares and warrants. In connection with the partial exercise of the underwriters' over-allotment option, a portion of the holders founders shares was forfeited back to the issuer. Shares owned by Roth Capital Partners, LLC, over which Gordon Roth shares voting and dispositive power. The warrants become exercisable on the later of (i) the completion of the registrant's initial business combination and (ii) 12 months from the closing of the registrant's initial public offering. 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. Warrants owned by Roth Capital Partners, LLC, over which Gordon Roth shares voting and dispositive power. /s/ Gordon Roth 2020-05-28