Gurewitz Aaron's Form 4 filing
Roth CH Acquisition V Co. (ROCL) · filed Dec 6, 2021
- Accession no.
- 0001104659-21-146930
- Filed
- Dec 6, 2021
- Trade date
- Dec 3, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $179.4K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gurewitz AaronCIK 0001810223 | Officer (Co-President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 3, 2021 | Common Stock | PPurchaseAcquired | +17,942 | $10.00 | +$179,420 | 128,570 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 3, 2021 | Common Stock | PPurchaseAcquired | +8,971 | –F1 | – | 8,971 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.
Referenced by the price of 1 transaction in Table II.