Filing Details

Accession Number:
0001104659-21-033279
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-03-08 16:24:11
Reporting Period:
2021-03-05
Accepted Time:
2021-03-08 16:24:11
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1839412 Roth Ch Acquisition Iii Co ROCRU () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1810078 Byron Roth C/O Roth Ch Acquisition Iii Co.
888 San Clemente Drive, Suite 400
Newport Beach CA 92660
Co-Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2021-03-05 55,710 $10.00 448,272 No 4 P Direct
Common Stock Acquisiton 2021-03-05 70,584 $10.00 567,961 No 4 P Indirect See Footnote
Common Stock Acquisiton 2021-03-05 12,643 $10.00 12,643 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect See Footnote
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants to purchase Common Stock Acquisiton 2021-03-05 13,928 $0.00 13,928 $11.50
Common Stock Warrants to purchase Common Stock Acquisiton 2021-03-05 17,646 $0.00 17,646 $11.50
Common Stock Warrants to purchase Common Stock Acquisiton 2021-03-05 3,161 $0.00 3,161 $11.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
13,928 No 4 P Direct
17,646 No 4 P Indirect
3,161 No 4 P Indirect
Footnotes
  1. The reporting person acquired units, consisting of shares and warrants.
  2. Consists of shares owned by CR Financial Holdings, Inc. over which Byron Roth and Gordon Roth have voting and dispositive power.
  3. 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.
  4. The warrants become exercisable 30 days after the consummation of the registrant's initial business combination offering.
  5. 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.
  6. Consists of warrants owned by CR Financial Holdings, Inc. over which Byron Roth and Gordon Roth have voting and dispositive power.
  7. 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.