Statement of Changes in Beneficial Ownership (4)
July 21 2021 - 05:48PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * LIPMAN JOHN
C |
2. Issuer Name and Ticker or Trading
Symbol Roth CH Acquisition II Co [ ROCCU ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Operating Officer |
(Last)
(First)
(Middle)
C/O ROTH CH ACQUISITION II CO., 888 SAN CLEMENTE DRIVE,
SUITE 400 |
3. Date of Earliest Transaction (MM/DD/YYYY)
7/21/2021
|
(Street)
NEWPORT BEACH, CA 92660
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Warrants to purchase Common
Stock |
$11.50 |
7/21/2021 |
|
P |
|
55000 (1) |
|
(2) |
(3) |
Common Stock |
55000 |
$1.53 |
126826 |
I |
See Footnote (1) |
Warrants to purchase Common
Stock |
$11.50 |
7/21/2021 |
|
P |
|
70000 (4) |
|
(2) |
(3) |
Common Stock |
70000 (4) |
$1.52 (4) |
196826 |
I |
See Footnote (4) |
Explanation of
Responses: |
(1) |
By Craig-Hallum 401(k)
Profit Sharing Plan FBO John Lipman. |
(2) |
The warrants become
exercisable 30 days after the consummation of the registrant's
initial business combination. |
(3) |
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. |
(4) |
This transaction was
executed in multiple trades at prices ranging from $1.51 to $1.53.
The price reported above reflects the weighted average purchase
price. The reporting person hereby undertakes to provide upon
request to the SEC staff, the issuer or a security holder of the
issuer full information regarding the number of securities and
prices at which the transaction was effected. Represents securities
held of record by the reporting person's Individual Retirement
Account. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
LIPMAN JOHN C
C/O ROTH CH ACQUISITION II CO.
888 SAN CLEMENTE DRIVE, SUITE 400
NEWPORT BEACH, CA 92660 |
X |
|
Chief Operating Officer |
|
Signatures
|
By: /s/ John Lipman |
|
7/21/2021 |
**Signature
of Reporting Person |
Date |
Ranger Oil (NASDAQ:ROCC)
Historical Stock Chart
From Apr 2022 to May 2022
Ranger Oil (NASDAQ:ROCC)
Historical Stock Chart
From May 2021 to May 2022