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