TYGO

SEC source: 0001213900-23-043279 · ownership.xml · derivative · entry 2

Conley Joan C · CIK 0001846983 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,333

Underlying: Common Stock · 9,333 shares

Expires 2032-06-22

F1 · shares: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F1 · price: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F3 · derivative.exercise_date: The stock options are immediately exercisable, subject to a right of repurchase in favor of the Issuer, which lapses as the stock option vests. 25% of the options vest on 06/23/2023, and the remainder vest monthly thereafter through May 2026.

SEC source: 0001213900-23-043279 · ownership.xml · derivative · entry 1

Conley Joan C · CIK 0001846983 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,334

Underlying: Common Stock · 93,334 shares

Expires 2031-12-15

F1 · shares: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F1 · price: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F2 · derivative.exercise_date: The stock options are immediately exercisable, subject to a right of repurchase in favor of the Issuer, which lapses as the stock option vests. 25% of the options vested on 06/28/2022, and the remainder vest monthly through May 2025.

SEC source: 0001213900-23-043277 · ownership.xml · derivative · entry 2

Babai Tomer · CIK 0001975277 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,333

Underlying: Common Stock · 9,333 shares

Expires 2032-06-22

F1 · shares: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F1 · price: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F3 · derivative.exercise_date: The stock options are immediately exercisable, subject to a right of repurchase in favor of the Issuer, which lapses as the stock option vests. 25% of the options vest on 06/23/2023, and the remainder vest monthly thereafter through May 2026.

SEC source: 0001213900-23-043277 · ownership.xml · derivative · entry 1

Babai Tomer · CIK 0001975277 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,333

Underlying: Common Stock · 23,333 shares

Expires 2031-02-24

F1 · shares: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F1 · price: Received in connection with the business combination between the Issuer (formerly known as Roth CH Acquisition IV Co.) and Tigo Energy, Inc. ("Legacy Tigo") on May 23, 2023 (the "Merger"). Each Legacy Tigo stock option was exchanged in the Merger for a stock option to acquire 0.233335 shares of common stock of the Issuer.

F2 · derivative.exercise_date: The stock options are immediately exercisable, subject to a right of repurchase in favor of the Issuer, which lapses as the stock option vests. 25% of the options vested on 02/25/2022, and the remainder vest monthly thereafter through January 2025.

SEC source: 0001104659-23-064794 · tm2316861-12_4seq1.xml · derivative · entry 2

CHAWLA SAM · CIK 0001592969 · former director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185

Underlying: Common Stock · 2,099 shares

Expires not disclosed

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-23-064794 · tm2316861-12_4seq1.xml · nonDerivative · entry 1

CHAWLA SAM · CIK 0001592969 · former director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,549

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

SEC source: 0001104659-23-064793 · tm2316861-11_4seq1.xml · derivative · entry 2

Molly Montgomery · CIK 0001465272 · former director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185

Underlying: Common Stock · 2,099 shares

Expires not disclosed

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-23-064793 · tm2316861-11_4seq1.xml · nonDerivative · entry 1

Molly Montgomery · CIK 0001465272 · former director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,549

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

SEC source: 0001104659-23-064791 · tm2316861-9_4seq1.xml · derivative · entry 2

LIPMAN JOHN C · CIK 0001383194 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,502

Underlying: Common Stock · 50,901 shares

Expires not disclosed

F1 · price: The reporting person disposed of (i) 394,963 shares of common stock and (ii) 101,802 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $552,229.25.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-23-064791 · tm2316861-9_4seq1.xml · nonDerivative · entry 1

LIPMAN JOHN C · CIK 0001383194 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 304,326

F1 · price: The reporting person disposed of (i) 394,963 shares of common stock and (ii) 101,802 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $552,229.25.

SEC source: 0001104659-23-064789 · tm2316861-7_4seq1.xml · derivative · entry 2

FRIEDBERG DANIEL M. · CIK 0001448795 · former director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 185

Underlying: Common Stock · 2,099 shares

Expires not disclosed

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

F3 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F4 · derivative.expiration_date: 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.

F2 · ownership.nature: Owned by Hampstead Park Capital Management, LLC, of which Mr. Friedberg is the managing member.

SEC source: 0001104659-23-064789 · tm2316861-7_4seq1.xml · nonDerivative · entry 1

FRIEDBERG DANIEL M. · CIK 0001448795 · former director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 12,549

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

F2 · ownership.nature: Owned by Hampstead Park Capital Management, LLC, of which Mr. Friedberg is the managing member.

SEC source: 0001104659-23-064788 · tm2316861-6_4seq1.xml · derivative · entry 2

CR Financial Holdings, Inc. · CIK 0001835871 · former 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,285

Underlying: Common Stock · 48,451 shares

Expires not disclosed

F1 · price: 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.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-23-064788 · tm2316861-6_4seq1.xml · nonDerivative · entry 1

CR Financial Holdings, Inc. · CIK 0001835871 · former 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,676

F1 · price: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · derivative · entry 8

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 348

Underlying: Common Stock · 3,936 shares

Expires not disclosed

F4 · price: 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.

F5 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F6 · derivative.expiration_date: 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.

F4 · ownership.nature: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · derivative · entry 7

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 4,285

Underlying: Common Stock · 48,451 shares

Expires not disclosed

F3 · price: 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.

F5 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F6 · derivative.expiration_date: 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.

F3 · ownership.nature: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · derivative · entry 6

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,350

Underlying: Common Stock · 15,269 shares

Expires not disclosed

F2 · price: 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.

F5 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F6 · derivative.expiration_date: 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.

F2 · ownership.nature: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · derivative · entry 5

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,350

Underlying: Common Stock · 15,269 shares

Expires not disclosed

F1 · price: 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.

F5 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F6 · derivative.expiration_date: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · nonDerivative · entry 4

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 696

F4 · price: 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.

F4 · ownership.nature: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · nonDerivative · entry 3

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 289,676

F3 · price: 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.

F3 · ownership.nature: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · nonDerivative · entry 2

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,700

F2 · price: 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.

F2 · ownership.nature: 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.

SEC source: 0001104659-23-064786 · tm2316861-5_4seq1.xml · nonDerivative · entry 1

Roth Byron · CIK 0001810078 · former director and officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,878

F1 · price: 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.

SEC source: 0001104659-23-064785 · tm2316861-4_4seq1.xml · derivative · entry 2

CHLM Sponsor LLC · CIK 0001856329 · former 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,502

Underlying: Common Stock · 50,901 shares

Expires not disclosed

F1 · price: The reporting person disposed of (i) 394,963 shares of common stock and (ii) 101,802 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $552,229.25.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-23-064785 · tm2316861-4_4seq1.xml · nonDerivative · entry 1

CHLM Sponsor LLC · CIK 0001856329 · former 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 304,326

F1 · price: The reporting person disposed of (i) 394,963 shares of common stock and (ii) 101,802 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $552,229.25.

SEC source: 0001104659-23-064775 · tm2316861-1_4seq1.xml · derivative · entry 2

Gurewitz Aaron · CIK 0001810223 · former officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 722

Underlying: Common Stock · 8,158 shares

Expires not disclosed

F1 · price: The reporting person disposed of (i) 63,298 shares of common stock and (ii) 16,315 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $88,501.41.

F3 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F4 · derivative.expiration_date: 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.

F2 · ownership.nature: Owned by the AMG Trust Established January 23, 2007, for which Aaron Gurewitz is trustee.

SEC source: 0001104659-23-064775 · tm2316861-1_4seq1.xml · nonDerivative · entry 1

Gurewitz Aaron · CIK 0001810223 · former officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 48,773

F1 · price: The reporting person disposed of (i) 63,298 shares of common stock and (ii) 16,315 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $88,501.41.

F2 · ownership.nature: Owned by the AMG Trust Established January 23, 2007, for which Aaron Gurewitz is trustee.

SEC source: 0001104659-23-064776 · tm2316861-2_4seq1.xml · derivative · entry 2

Rothstein Adam · CIK 0001602273 · former director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185

Underlying: Common Stock · 2,099 shares

Expires not disclosed

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-23-064776 · tm2316861-2_4seq1.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · former director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,549

F1 · price: The reporting person disposed of (i) 16,287 shares of common stock and (ii) 4,198 units, each unit consisting of one share of common stock and one-half of one warrant, for total consideration of $22,770.75.

SEC source: 0001104659-22-050514 · tm2213514-1_4seq1.xml · derivative · entry 2

Costa Andrew · CIK 0001874984 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,428 shares

Expires not disclosed

F1 · price: The reporting person disposed units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-22-050514 · tm2213514-1_4seq1.xml · nonDerivative · entry 1

Costa Andrew · CIK 0001874984 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,791

F1 · shares: The reporting person disposed units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-22-050515 · tm2213514-2_4seq1.xml · derivative · entry 2

Day Matthew · CIK 0001875121 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,856 shares

Expires not disclosed

F1 · price: The reporting person disposed units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-22-050515 · tm2213514-2_4seq1.xml · nonDerivative · entry 1

Day Matthew · CIK 0001875121 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,583

F1 · shares: The reporting person disposed units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-21-103548 · tm2124740-6_4seq1.xml · derivative · entry 4

ROTH GORDON J · CIK 0001160634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 52,736

Underlying: Common Stock · 52,736 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F3 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F4 · derivative.expiration_date: 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.

F2 · ownership.nature: Owned by CR Financial Holdings, Inc., over which Byron Roth and Gordon Roth have voting and dispositive power.

SEC source: 0001104659-21-103548 · tm2124740-6_4seq1.xml · derivative · entry 3

ROTH GORDON J · CIK 0001160634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,833

Underlying: Common Stock · 6,833 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F3 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F4 · derivative.expiration_date: 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.

SEC source: 0001104659-21-103548 · tm2124740-6_4seq1.xml · nonDerivative · entry 2

ROTH GORDON J · CIK 0001160634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 762,528

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · ownership.nature: Owned by CR Financial Holdings, Inc., over which Byron Roth and Gordon Roth have voting and dispositive power.

SEC source: 0001104659-21-103548 · tm2124740-6_4seq1.xml · nonDerivative · entry 1

ROTH GORDON J · CIK 0001160634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,810

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-21-103543 · tm2124740-3_4seq1.xml · derivative · entry 2

Costa Andrew · CIK 0001874984 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,428

Underlying: Common Stock · 1,428 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-21-103543 · tm2124740-3_4seq1.xml · nonDerivative · entry 1

Costa Andrew · CIK 0001874984 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,647

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-21-103557 · tm2124740-8_4seq1.xml · derivative · entry 2

Day Matthew · CIK 0001875121 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,856

Underlying: Common Stock · 2,856 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-21-103557 · tm2124740-8_4seq1.xml · nonDerivative · entry 1

Day Matthew · CIK 0001875121 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,295

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-21-103587 · tm2124740-5_4seq1.xml · derivative · entry 2

FRIEDBERG DANIEL M. · CIK 0001448795 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,284

Underlying: Common Stock · 2,284 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F3 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F4 · derivative.expiration_date: 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.

F2 · ownership.nature: Owned by Hampstead Park Capital Management, LLC, of which Mr. Friedberg is the managing member.

SEC source: 0001104659-21-103587 · tm2124740-5_4seq1.xml · nonDerivative · entry 1

FRIEDBERG DANIEL M. · CIK 0001448795 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,034

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · ownership.nature: Owned by Hampstead Park Capital Management, LLC, of which Mr. Friedberg is the managing member.

SEC source: 0001104659-21-103564 · tm2124740-10_4seq1.xml · derivative · entry 2

CHAWLA SAM · CIK 0001592969 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,284

Underlying: Common Stock · 2,284 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-21-103564 · tm2124740-10_4seq1.xml · nonDerivative · entry 1

CHAWLA SAM · CIK 0001592969 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,034

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-21-103560 · tm2124740-9_4seq1.xml · derivative · entry 2

Molly Montgomery · CIK 0001465272 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,284

Underlying: Common Stock · 2,284 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-21-103560 · tm2124740-9_4seq1.xml · nonDerivative · entry 1

Molly Montgomery · CIK 0001465272 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,034

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-21-103555 · tm2124740-7_4seq1.xml · derivative · entry 2

LIPMAN JOHN C · CIK 0001383194 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,403

Underlying: Common Stock · 55,403 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-21-103555 · tm2124740-7_4seq1.xml · nonDerivative · entry 1

LIPMAN JOHN C · CIK 0001383194 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 801,091

F1 · shares: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

SEC source: 0001104659-21-103545 · tm2124740-4_4seq1.xml · derivative · entry 6

Roth Byron · CIK 0001810078 · Director · Co-CEO & Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 52,736

Underlying: Common Stock · 52,736 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F4 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination offering.

F5 · derivative.expiration_date: 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.

F3 · ownership.nature: Owned by CR Financial Holdings, Inc., over which Byron Roth and Gordon Roth have voting and dispositive power.

SEC source: 0001104659-21-103545 · tm2124740-4_4seq1.xml · derivative · entry 5

Roth Byron · CIK 0001810078 · Director · Co-CEO & Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,619

Underlying: Common Stock · 16,619 shares

Expires not disclosed

F1 · price: The reporting person acquired units, each unit consisting of one share of common stock and one-half of one warrant.

F4 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination offering.

F5 · derivative.expiration_date: 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.

F2 · ownership.nature: Held in an IRA for the benefit of Byron Roth.