| Date Filed | Type | Description |
| 10/10/2023 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 10/06/2023 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers: |
| 09/28/2022 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 09/27/2022 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers: |
| 10/15/2021 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 01/28/2021 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers: |
| 01/28/2021 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 05/28/2020 |
4
| ROTH CAPITAL PARTNERS, LLC (10% Owner) has filed a Form 4 on Roth CH Acquisition I Co|
Txns:
| Bought 794 shares
@ $10, valued at
$7.9k
Disposed of 45,409 shares
@ $0
Bought 595 options to buy
@ $11.5, valued at
$6.8k
|
|
| 05/28/2020 |
4/A
| ROTH CAPITAL PARTNERS, LLC (10% Owner) has filed a Form 4 on Roth CH Acquisition I Co|
Txns:
| Bought 62,800 shares
@ $10, valued at
$628k
Bought 47,100 options to buy
@ $11.5, valued at
$541.7k
|
|
| 05/11/2020 |
4
| ROTH CAPITAL PARTNERS, LLC (10% Owner) has filed a Form 4 on Roth CH Acquisition I Co|
Txns:
| Bought 52,924 shares
@ $10, valued at
$529.2k
Bought 39,693 options to buy
@ $11.5, valued at
$456.5k
|
|
| 05/08/2020 |
3
| ROTH CAPITAL PARTNERS, LLC (10% Owner) has filed a Form 3 on Roth CH Acquisition I Co |
| 09/12/2019 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers: |
| 09/11/2019 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 08/31/2018 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers: |
| 08/31/2018 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 08/29/2017 |
X-17A-5
| Form X-17A-5 - FOCUS Report: |
| 02/09/2017 |
SC 13G/A
| ROTH CAPITAL PARTNERS, LLC reports a 10% stake in Enerpulse Technologies, Inc. |
| 09/02/2016 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers |
| 09/01/2016 |
X-17A-5/A
| Form X-17A-5/A - FOCUS Report [Amend] |
| 08/26/2016 |
X-17A-5
| Form X-17A-5 - FOCUS Report |
| 03/04/2015 |
SC 13G
| ROTH CAPITAL PARTNERS, LLC reports a 10% stake in Enerpulse Technologies, Inc. |
| 09/12/2012 |
FOCUSN
| Form FOCUSN - Non-public annual audit reports filed by brokers or dealers |
| 09/12/2012 |
X-17A-5
| Form X-17A-5 - FOCUS Report |
| 09/12/2011 |
FOCUSN
| Form FOCUSN - |
| 09/12/2011 |
X-17A-5
| Form X-17A-5 - FOCUS Report |
| 10/05/2010 |
FOCUSN
| Form FOCUSN - |
| 09/29/2010 |
X-17A-5
| Form X-17A-5 - FOCUS Report |
| 10/30/2009 |
X-17A-5/A
| Form X-17A-5 - FOCUS Report [amend] |
| 08/28/2009 |
FOCUSN
| Form FOCUSN - |
| 08/28/2009 |
X-17A-5
| Form X-17A-5 - FOCUS Report |