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Roth Gordon J's Form 4 filing

Tigo Energy, Inc.TYGO · filed May 25, 2023

Accession no.
0001104659-23-064790
Filed
May 25, 2023
Trade date
May 23, 2023
Filing delay
2 days
Rule 10b5-1 plan
Not checked

This filing lists 3 non-derivative transactions and 3 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.

Reporting owners on this filing
OwnerRelationship to the company
Roth Gordon JCIK 0001160634Other: former officer

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
May 23, 2023Common StockSSaleDisposed−61,273–F1–37,537Direct
May 23, 2023Common StockSSaleDisposed−472,852–F2–289,676Indirect
May 23, 2023Common StockSSaleDisposed−7,872–F3–696Indirect

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.

Derivative transactions
Trade dateSecurityTransactionUnderlying sharesUnit priceValueHeld afterOwnershipFlags
May 23, 2023Common StockSSaleDisposed−6,278–F1–555Direct
May 23, 2023Common StockSSaleDisposed−48,451–F2–4,285Indirect
May 23, 2023Common StockSSaleDisposed−3,936–F3–348Indirect

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) 48,717 shares of common stock and (ii) 12,556 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $68,112.89.

Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.

F2

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.

F3

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.

Read the full filing on SEC EDGAR (opens in a new tab)