| Date Filed | Type | Description |
| 04/24/2023 |
144
| Form 144 - Report of proposed sale of securities: |
| 03/31/2023 |
X-17A-5/A
| Form X-17A-5/A - FOCUS Report: [Amend] |
| 03/31/2023 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 03/31/2021 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 05/28/2020 |
4
| CRAIG-HALLUM CAPITAL GROUP LLC (10% Owner) has filed a Form 4 on Roth CH Acquisition I Co|
Txns:
| Bought 491 shares
@ $10, valued at
$4.9k
Disposed of 39,843 shares
@ $0
Bought 368 options to buy
@ $11.5, valued at
$4.2k
|
|
| 05/28/2020 |
4/A
| CRAIG-HALLUM CAPITAL GROUP LLC (10% Owner) has filed a Form 4 on Roth CH Acquisition I Co|
Txns:
| Bought 38,822 shares
@ $10, valued at
$388.2k
Bought 29,116 options to buy
@ $11.5, valued at
$334.8k
|
|
| 05/11/2020 |
4
| CRAIG-HALLUM CAPITAL GROUP LLC (10% Owner) has filed a Form 4 on Roth CH Acquisition I Co|
Txns:
| Bought 35,826 shares
@ $10, valued at
$358.3k
Bought 26,869 options to buy
@ $11.5, valued at
$309k
|
|
| 05/04/2020 |
3
| Form 3 - Initial statement of beneficial ownership of securities: |
| 03/02/2020 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 03/01/2019 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 03/20/2018 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers: |
| 03/19/2018 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 03/22/2017 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers |
| 03/15/2017 |
X-17A-5
| Form X-17A-5 - FOCUS Report |
| 03/09/2016 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers |
| 03/21/2013 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers |
| 03/20/2012 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers |
| 03/12/2012 |
X-17A-5
| Form X-17A-5 - FOCUS Report |
| 03/15/2011 |
FOCUSN
| Form FOCUSN - |
| 03/12/2010 |
FOCUSN
| Form FOCUSN - |
| 03/08/2010 |
X-17A-5
| Form X-17A-5 - FOCUS Report |
| 03/31/2009 |
FOCUSN
| Form FOCUSN -- |
| 03/12/2009 |
X-17A-5
| Form X-17A-5 -- FOCUS Report |