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

Role
former officer
Signature
/s/ Gordon Roth
Stock symbol
TYGO
Transactions as of
May 23, 2023
Transactions value $
$0
Form type
4
Date filed
5/25/2023, 05:44 PM
Previous filing
Dec 6, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TYGO Common Stock Sale -61.3K -62.01% 37.5K May 23, 2023 Direct F1
transaction TYGO Common Stock Sale -473K -62.01% 290K May 23, 2023 See footnote F2
transaction TYGO Common Stock Sale -7.87K -91.88% 696 May 23, 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 -6.28K -91.88% 555 May 23, 2023 Common Stock 6.28K $11.50 Direct F1, F4, F5
transaction TYGO Warrants to purchase common stock Sale -48.5K -91.87% 4.29K May 23, 2023 Common Stock 48.5K $11.50 See footnote F2, F4, F5
transaction TYGO Warrants to purchase common stock Sale -3.94K -91.88% 348 May 23, 2023 Common Stock 3.94K $11.50 See footnote F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Gordon 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.