ROTH CH ACQUISITION IV CO

CUSIP: 77867P112 Class: *W EXP 07/01/202

K2 PRINCIPAL FUND, L.P.'s Holding History (CIK: 0001461790)

Note: Option positions (PUT/CALL) are excluded.

Q1 2023
Shares 613,688 Value ($000) $173 Avg Close — Range —
Q4 2022
Shares 790,995 Value ($000) $170 Avg Close — Range —
Q3 2022
Shares 821,145 Value ($000) $82 Avg Close — Range —
Q2 2022
Shares 821,145 Value ($000) $123 Avg Close — Range —
Q1 2022
Shares 821,145 Value ($000) $238 Avg Close — Range —
Q4 2021
Shares 703,579 Value ($000) $563 Avg Close — Range —
Q3 2021
Shares 206,250 Value ($000) $113 Avg Close — Range —