0001104659-21-033284.txt : 20210308 0001104659-21-033284.hdr.sgml : 20210308 20210308162611 ACCESSION NUMBER: 0001104659-21-033284 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210305 FILED AS OF DATE: 20210308 DATE AS OF CHANGE: 20210308 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: 001-40147 FILM NUMBER: 21722298 MAIL ADDRESS: STREET 1: 26 CORPORATE PLAZA CITY: NEWPORT BEACH STATE: CA ZIP: 92660 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Roth CH Acquisition III Co CENTRAL INDEX KEY: 0001839412 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 tm218954-5_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-03-05 0 0001839412 Roth CH Acquisition III Co ROCRU 0001160634 ROTH GORDON J C/O ROTH CH ACQUISITION III CO. 888 SAN CLEMENTE DRIVE, SUITE 400 NEWPORT BEACH CA 92660 0 1 0 0 Chief Financial Officer Common Stock 2021-03-05 4 P 0 11477 10.00 A 92352 D Common Stock 2021-03-05 4 P 0 70584 10.00 A 567961 I See Footnote Common Stock 2021-03-05 4 P 0 12643 10.00 A 12643 I See Footnote Warrants to purchase Common Stock 11.50 2021-03-05 4 P 0 2869 A Common Stock 2869 2869 D Warrants to purchase Common Stock 11.50 2021-03-05 4 P 0 17646 A Common Stock 17646 17646 I See Footnote Warrants to purchase Common Stock 11.50 2021-03-05 4 P 0 3161 A Common Stock 3161 3161 I See Footnote The reporting person acquired units, consisting of shares and warrants. Consists of shares owned by CR Financial Holdings, Inc. over which Byron Roth and Gordon Roth have voting and dispositive power. Consists of shares owned by Roth Capital Partners, LLC. Byron Roth and Gordon Roth, both members of Roth Capital Partners, LLC, have voting and dispositive power over the shares held by Roth Capital Partners, LLC. The warrants become exercisable 30 days after the consummation of the registrant's initial business combination. 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. Consists of warrants owned by CR Financial Holdings, Inc. over which Byron Roth and Gordon Roth have voting and dispositive power. Consists of warrants owned by Roth Capital Partners, LLC. Byron Roth and Gordon Roth, both members of Roth Capital Partners, LLC, have voting and dispositive power over the shares held by Roth Capital Partners, LLC. By: /s/ Gordon Roth 2021-03-08