1 |
NAME OF REPORTING PERSON:
Sanders Morris Harris LLC
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
760224835
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
[ ] (a)
[ ] (b)
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3 |
SEC USE ONLY
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4 |
SOURCE OF FUNDS:
separately owned client accounts
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
none
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8 |
SHARED VOTING POWER
none
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9 |
SOLE DISPOSITIVE POWER
none
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10 |
SHARED DISPOSITIVE POWER
none
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
787,440
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.61%
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14 |
TYPE OF REPORTING PERSON
I/A B/D
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ITEM 1. | SECURITY AND ISSUER: |
ROCRU 77867Q201 ROTH CH ACQUISITION III CO UNIT 1 COM & 1/4 WT EXP 02/26/26 Equity |
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ITEM 2. | IDENTITY AND BACKGROUND: |
N/A | |
ITEM 3. | SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION: |
N/A | |
ITEM 4. | PURPOSE OF TRANSACTION: |
SPAC deal SMH participated as selling group only | |
ITEM 5. | INTEREST IN SECURITIES OF THE ISSUER: |
N/A | |
ITEM 6. | CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER: |
none | |
ITEM 7. | MATERIALS TO BE FILES AS EXHIBITS: |
none |
Sanders Morris Harris
By:
/s/ David Block
Name:
Title:
Chief Operations Officer
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