0001104659-20-059662.txt : 20200511 0001104659-20-059662.hdr.sgml : 20200511 20200511172235 ACCESSION NUMBER: 0001104659-20-059662 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200507 FILED AS OF DATE: 20200511 DATE AS OF CHANGE: 20200511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRAIG-HALLUM CAPITAL GROUP LLC CENTRAL INDEX KEY: 0001175408 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39282 FILM NUMBER: 20866108 BUSINESS ADDRESS: STREET 1: 222 SOUTH NINTH ST, STE 350 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-334-6305 MAIL ADDRESS: STREET 1: 222 SOUTH NINTH ST, STE 350 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Roth CH Acquisition I Co CENTRAL INDEX KEY: 0001796303 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 tm2019305-1_form4.xml FORM 4 X0306 4 2020-05-07 0 0001796303 Roth CH Acquisition I Co ROCHU 0001175408 CRAIG-HALLUM CAPITAL GROUP LLC 222 SOUTH NINTH STREET, SUITE 350 MINNEAPOLIS MN 55402 0 0 1 0 Common Stock 2020-05-07 4 P 0 35826 10.00 A 357372 D Warrants to purchase Common Stock 11.50 2020-05-07 4 P 0 26869 A Common Stock 26869 26869 D The reporting person acquired units, consisting of shares and warrants. The warrants become exercisable on the later of (i) the completion of the registrant's initial business combination and (ii) 12 months from the closing of the registrant's initial public offering. 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 /s/ Rick Hartfiel 2020-05-11