Roth Byron's Form 4 filing
Tigo Energy, Inc.TYGO · filed May 25, 2023
- Accession no.
- 0001104659-23-064786
- Filed
- May 25, 2023
- Trade date
- May 23, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 4 derivative transactions. It was filed 2 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 |
|---|---|
| Roth ByronCIK 0001810078 | Other: former director and officer |
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 |
|---|---|---|---|---|---|---|---|---|
| May 23, 2023 | Common Stock | SSaleDisposed | −267,493 | –F1 | – | 179,878 | Direct | |
| May 23, 2023 | Common Stock | SSaleDisposed | −30,538 | –F2 | – | 2,700 | Indirect | |
| May 23, 2023 | Common Stock | SSaleDisposed | −472,852 | –F3 | – | 289,676 | Indirect | |
| May 23, 2023 | Common Stock | SSaleDisposed | −7,872 | –F4 | – | 696 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 23, 2023 | Common Stock | SSaleDisposed | −15,269 | –F1 | – | 1,350 | Direct | |
| May 23, 2023 | Common Stock | SSaleDisposed | −15,269 | –F2 | – | 1,350 | Indirect | |
| May 23, 2023 | Common Stock | SSaleDisposed | −48,451 | –F3 | – | 4,285 | Indirect | |
| May 23, 2023 | Common Stock | SSaleDisposed | −3,936 | –F4 | – | 348 | 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 disposed of (i) 236,955 shares of common stock and (ii) 30,538 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $165,654.82.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F2
Held in an IRA for the benefit of Byron Roth. The reporting person disposed of 30,538 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $165,649.84.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F3
Owned by CR Financial Holdings, Inc., over which Byron Roth and Gordon Roth have voting and dispositive power. The reporting person disposed of (i) 375,950 shares of common stock and (ii) 96,902 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $525,645.94.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F4
Owned by Roth Capital Partners, LLC, over which Byron Roth and Gordon Roth have voting and dispositive power. The reporting person disposed of 7,872 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $42,700.76.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.