401k Plan data: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN plan

ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 401k Plan overview

Plan Name	ROTH CAPITAL PARTNERS, LLC 401(K) PLAN
Plan identification number	001

ROTH CAPITAL PARTNERS, LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ROTH CAPITAL PARTNER'S LLC has sponsored the creation of one or more 401k plans.

Company Name: ROTH CAPITAL PARTNER'S LLC

Employer identification number (EIN): 330947643

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROTH CAPITAL PARTNERS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-07-01 KATHLEEN HANG
001 2022-07-01
001 2022-07-01 KATHLEEN DIAZ
001 2021-07-01
001 2021-07-01 KATHLEEN DIAZ
001 2020-07-01
001 2019-07-01
001 2017-07-01 KATHLEEN DIAZ DONALD SKRDLANT 2019-03-01
001 2016-07-01 KATHLEEN DIAZ DONALD SKRDLANT 2018-04-04
001 2015-07-01 KATHLEEN DIAZ DONALD SKRDLANT 2017-03-21
001 2014-07-01 KATHLEEN DIAZ
001 2013-07-01 PRISCILLA KASTNER DON SKRDLANT 2015-02-26
001 2012-07-01 PRISCILLA KASTNER DON SKRDLANT 2014-03-12
001 2011-07-01 PRISCILLA KASTNER DON SKRDLANT 2013-03-14
001 2009-07-01 PRISCILLA KASTNER DONALD SKRDLANT 2011-04-12

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2023-07-01	KATHLEEN HANG
001	2022-07-01
001	2022-07-01	KATHLEEN DIAZ
001	2021-07-01
001	2021-07-01	KATHLEEN DIAZ
001	2020-07-01
001	2019-07-01
001	2017-07-01	KATHLEEN DIAZ	DONALD SKRDLANT	2019-03-01
001	2016-07-01	KATHLEEN DIAZ	DONALD SKRDLANT	2018-04-04
001	2015-07-01	KATHLEEN DIAZ	DONALD SKRDLANT	2017-03-21
001	2014-07-01	KATHLEEN DIAZ
001	2013-07-01	PRISCILLA KASTNER	DON SKRDLANT	2015-02-26
001	2012-07-01	PRISCILLA KASTNER	DON SKRDLANT	2014-03-12
001	2011-07-01	PRISCILLA KASTNER	DON SKRDLANT	2013-03-14
001	2009-07-01	PRISCILLA KASTNER	DONALD SKRDLANT	2011-04-12

Plan Statistics for ROTH CAPITAL PARTNERS, LLC 401(K) PLAN

401k plan membership statisitcs for ROTH CAPITAL PARTNERS, LLC 401(K) PLAN

Measure Date Value
2022: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-07-01 193
Total number of active participants reported on line 7a of the Form 5500 2022-07-01 213
Number of retired or separated participants receiving benefits 2022-07-01 0
Number of other retired or separated participants entitled to future benefits 2022-07-01 44
Total of all active and inactive participants 2022-07-01 257
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-07-01 0
Total participants 2022-07-01 257
Number of participants with account balances 2022-07-01 195
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-07-01 6
2021: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-07-01 180
Total number of active participants reported on line 7a of the Form 5500 2021-07-01 147
Number of retired or separated participants receiving benefits 2021-07-01 0
Number of other retired or separated participants entitled to future benefits 2021-07-01 46
Total of all active and inactive participants 2021-07-01 193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-07-01 0
Total participants 2021-07-01 193
Number of participants with account balances 2021-07-01 149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-07-01 2
2020: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-07-01 185
Total number of active participants reported on line 7a of the Form 5500 2020-07-01 136
Number of retired or separated participants receiving benefits 2020-07-01 0
Number of other retired or separated participants entitled to future benefits 2020-07-01 44
Total of all active and inactive participants 2020-07-01 180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-07-01 0
Total participants 2020-07-01 180
Number of participants with account balances 2020-07-01 140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-07-01 8
2019: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-07-01 169
Total number of active participants reported on line 7a of the Form 5500 2019-07-01 140
Number of retired or separated participants receiving benefits 2019-07-01 0
Number of other retired or separated participants entitled to future benefits 2019-07-01 45
Total of all active and inactive participants 2019-07-01 185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-07-01 0
Total participants 2019-07-01 185
Number of participants with account balances 2019-07-01 146
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-07-01 2
2017: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-07-01 167
Total number of active participants reported on line 7a of the Form 5500 2017-07-01 112
Number of retired or separated participants receiving benefits 2017-07-01 1
Number of other retired or separated participants entitled to future benefits 2017-07-01 41
Total of all active and inactive participants 2017-07-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-07-01 0
Total participants 2017-07-01 154
Number of participants with account balances 2017-07-01 138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-07-01 2
2016: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-07-01 169
Total number of active participants reported on line 7a of the Form 5500 2016-07-01 126
Number of retired or separated participants receiving benefits 2016-07-01 1
Number of other retired or separated participants entitled to future benefits 2016-07-01 40
Total of all active and inactive participants 2016-07-01 167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-07-01 0
Total participants 2016-07-01 167
Number of participants with account balances 2016-07-01 134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-07-01 2
2015: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-07-01 160
Total number of active participants reported on line 7a of the Form 5500 2015-07-01 129
Number of retired or separated participants receiving benefits 2015-07-01 0
Number of other retired or separated participants entitled to future benefits 2015-07-01 40
Total of all active and inactive participants 2015-07-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-07-01 0
Total participants 2015-07-01 169
Number of participants with account balances 2015-07-01 140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-07-01 10
2014: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-07-01 151
Total number of active participants reported on line 7a of the Form 5500 2014-07-01 126
Number of retired or separated participants receiving benefits 2014-07-01 0
Number of other retired or separated participants entitled to future benefits 2014-07-01 34
Total of all active and inactive participants 2014-07-01 160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-07-01 0
Total participants 2014-07-01 160
Number of participants with account balances 2014-07-01 141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-07-01 11
2013: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-07-01 151
Total number of active participants reported on line 7a of the Form 5500 2013-07-01 116
Number of retired or separated participants receiving benefits 2013-07-01 0
Number of other retired or separated participants entitled to future benefits 2013-07-01 35
Total of all active and inactive participants 2013-07-01 151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-07-01 0
Total participants 2013-07-01 151
Number of participants with account balances 2013-07-01 137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-07-01 4
2012: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-07-01 163
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 106
Number of retired or separated participants receiving benefits 2012-07-01 0
Number of other retired or separated participants entitled to future benefits 2012-07-01 45
Total of all active and inactive participants 2012-07-01 151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-07-01 0
Total participants 2012-07-01 151
Number of participants with account balances 2012-07-01 141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-07-01 8
2011: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-07-01 163
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 126
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 36
Total of all active and inactive participants 2011-07-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 1
Total participants 2011-07-01 163
Number of participants with account balances 2011-07-01 148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 10
2009: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 161
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 125
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 23
Total of all active and inactive participants 2009-07-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 0
Total participants 2009-07-01 148
Number of participants with account balances 2009-07-01 138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 2

Measure	Date	Value
2022: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-07-01	193
Total number of active participants reported on line 7a of the Form 5500	2022-07-01	213
Number of retired or separated participants receiving benefits	2022-07-01	0
Number of other retired or separated participants entitled to future benefits	2022-07-01	44
Total of all active and inactive participants	2022-07-01	257
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-07-01	0
Total participants	2022-07-01	257
Number of participants with account balances	2022-07-01	195
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-07-01	6
2021: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-07-01	180
Total number of active participants reported on line 7a of the Form 5500	2021-07-01	147
Number of retired or separated participants receiving benefits	2021-07-01	0
Number of other retired or separated participants entitled to future benefits	2021-07-01	46
Total of all active and inactive participants	2021-07-01	193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-07-01	0
Total participants	2021-07-01	193
Number of participants with account balances	2021-07-01	149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-07-01	2
2020: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-07-01	185
Total number of active participants reported on line 7a of the Form 5500	2020-07-01	136
Number of retired or separated participants receiving benefits	2020-07-01	0
Number of other retired or separated participants entitled to future benefits	2020-07-01	44
Total of all active and inactive participants	2020-07-01	180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-07-01	0
Total participants	2020-07-01	180
Number of participants with account balances	2020-07-01	140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-07-01	8
2019: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-07-01	169
Total number of active participants reported on line 7a of the Form 5500	2019-07-01	140
Number of retired or separated participants receiving benefits	2019-07-01	0
Number of other retired or separated participants entitled to future benefits	2019-07-01	45
Total of all active and inactive participants	2019-07-01	185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-07-01	0
Total participants	2019-07-01	185
Number of participants with account balances	2019-07-01	146
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-07-01	2
2017: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-07-01	167
Total number of active participants reported on line 7a of the Form 5500	2017-07-01	112
Number of retired or separated participants receiving benefits	2017-07-01	1
Number of other retired or separated participants entitled to future benefits	2017-07-01	41
Total of all active and inactive participants	2017-07-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-07-01	0
Total participants	2017-07-01	154
Number of participants with account balances	2017-07-01	138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-07-01	2
2016: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-07-01	169
Total number of active participants reported on line 7a of the Form 5500	2016-07-01	126
Number of retired or separated participants receiving benefits	2016-07-01	1
Number of other retired or separated participants entitled to future benefits	2016-07-01	40
Total of all active and inactive participants	2016-07-01	167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-07-01	0
Total participants	2016-07-01	167
Number of participants with account balances	2016-07-01	134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-07-01	2
2015: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-07-01	160
Total number of active participants reported on line 7a of the Form 5500	2015-07-01	129
Number of retired or separated participants receiving benefits	2015-07-01	0
Number of other retired or separated participants entitled to future benefits	2015-07-01	40
Total of all active and inactive participants	2015-07-01	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-07-01	0
Total participants	2015-07-01	169
Number of participants with account balances	2015-07-01	140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-07-01	10
2014: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-07-01	151
Total number of active participants reported on line 7a of the Form 5500	2014-07-01	126
Number of retired or separated participants receiving benefits	2014-07-01	0
Number of other retired or separated participants entitled to future benefits	2014-07-01	34
Total of all active and inactive participants	2014-07-01	160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-07-01	0
Total participants	2014-07-01	160
Number of participants with account balances	2014-07-01	141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-07-01	11
2013: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-07-01	151
Total number of active participants reported on line 7a of the Form 5500	2013-07-01	116
Number of retired or separated participants receiving benefits	2013-07-01	0
Number of other retired or separated participants entitled to future benefits	2013-07-01	35
Total of all active and inactive participants	2013-07-01	151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-07-01	0
Total participants	2013-07-01	151
Number of participants with account balances	2013-07-01	137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-07-01	4
2012: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-07-01	163
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	106
Number of retired or separated participants receiving benefits	2012-07-01	0
Number of other retired or separated participants entitled to future benefits	2012-07-01	45
Total of all active and inactive participants	2012-07-01	151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-07-01	0
Total participants	2012-07-01	151
Number of participants with account balances	2012-07-01	141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-07-01	8
2011: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-07-01	163
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	126
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	36
Total of all active and inactive participants	2011-07-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	1
Total participants	2011-07-01	163
Number of participants with account balances	2011-07-01	148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	10
2009: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	161
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	125
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	23
Total of all active and inactive participants	2009-07-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	0
Total participants	2009-07-01	148
Number of participants with account balances	2009-07-01	138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	2

Financial Data on ROTH CAPITAL PARTNERS, LLC 401(K) PLAN

Measure	Date	Value
2023 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2023 401k financial data
Unrealized appreciation/depreciation of real estate assets	2023-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2023-06-30	$219,526
Total unrealized appreciation/depreciation of assets	2023-06-30	$219,526
Total transfer of assets to this plan	2023-06-30	$0
Total transfer of assets from this plan	2023-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-06-30	$0
Expenses. Interest paid	2023-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2023-06-30	$0
Total income from all sources (including contributions)	2023-06-30	$14,532,412
Total loss/gain on sale of assets	2023-06-30	$79,618
Total of all expenses incurred	2023-06-30	$1,848,812
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2023-06-30	$1,741,940
Expenses. Certain deemed distributions of participant loans	2023-06-30	$0
Value of total corrective distributions	2023-06-30	$35,016
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2023-06-30	$8,769,467
Value of total assets at end of year	2023-06-30	$45,454,761
Value of total assets at beginning of year	2023-06-30	$32,771,161
Total of administrative expenses incurred including professional, contract, advisory and management fees	2023-06-30	$71,856
Total income from rents	2023-06-30	$0
Total interest from all sources	2023-06-30	$151,405
Total dividends received (eg from common stock, registered investment company shares)	2023-06-30	$668,354
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2023-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2023-06-30	$655,506
Assets. Real estate other than employer real property at end of year	2023-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2023-06-30	$0
Administrative expenses professional fees incurred	2023-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2023-06-30	$11,330
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2023-06-30	$19,740
Was this plan covered by a fidelity bond	2023-06-30	Yes
Value of fidelity bond cover	2023-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2023-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2023-06-30	No
Contributions received from participants	2023-06-30	$2,314,934
Participant contributions at end of year	2023-06-30	$294,510
Participant contributions at beginning of year	2023-06-30	$197,257
Participant contributions at end of year	2023-06-30	$0
Participant contributions at beginning of year	2023-06-30	$0
Assets. Other investments not covered elsewhere at end of year	2023-06-30	$91,076
Assets. Other investments not covered elsewhere at beginning of year	2023-06-30	$67,129
Income. Received or receivable in cash from other sources (including rollovers)	2023-06-30	$5,866,372
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2023-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2023-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2023-06-30	$0
Assets. Loans (other than to participants) at end of year	2023-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2023-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2023-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2023-06-30	$0
Other income not declared elsewhere	2023-06-30	$0
Administrative expenses (other) incurred	2023-06-30	$71,856
Liabilities. Value of operating payables at end of year	2023-06-30	$0
Liabilities. Value of operating payables at beginning of year	2023-06-30	$0
Total non interest bearing cash at end of year	2023-06-30	$0
Total non interest bearing cash at beginning of year	2023-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-06-30	No
Income. Non cash contributions	2023-06-30	$0
Value of net income/loss	2023-06-30	$12,683,600
Value of net assets at end of year (total assets less liabilities)	2023-06-30	$45,454,761
Value of net assets at beginning of year (total assets less liabilities)	2023-06-30	$32,771,161
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2023-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2023-06-30	No
Were any leases to which the plan was party in default or uncollectible	2023-06-30	No
Assets. partnership/joint venture interests at end of year	2023-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2023-06-30	$0
Investment advisory and management fees	2023-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2023-06-30	$38,121,535
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2023-06-30	$26,423,974
Value of interest in pooled separate accounts at end of year	2023-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2023-06-30	$0
Interest on participant loans	2023-06-30	$8,879
Income. Interest from loans (other than to participants)	2023-06-30	$0
Interest earned on other investments	2023-06-30	$0
Income. Interest from US Government securities	2023-06-30	$0
Income. Interest from corporate debt instruments	2023-06-30	$25,878
Value of interest in master investment trust accounts at end of year	2023-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2023-06-30	$0
Value of interest in common/collective trusts at end of year	2023-06-30	$654,528
Value of interest in common/collective trusts at beginning of year	2023-06-30	$996,188
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2023-06-30	$4,023,554
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2023-06-30	$3,714,574
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2023-06-30	$3,714,574
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2023-06-30	$116,648
Assets. Value of investments in 103.12 investment entities at end of year	2023-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2023-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2023-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2023-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2023-06-30	$0
Asset value of US Government securities at end of year	2023-06-30	$404,090
Asset value of US Government securities at beginning of year	2023-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2023-06-30	$4,637,616
Net investment gain/loss from pooled separate accounts	2023-06-30	$0
Net investment gain or loss from common/collective trusts	2023-06-30	$6,426
Net gain/loss from 103.12 investment entities	2023-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2023-06-30	No
Was there a failure to transmit to the plan any participant contributions	2023-06-30	No
Has the plan failed to provide any benefit when due under the plan	2023-06-30	No
Assets. Invements in employer securities at end of year	2023-06-30	$0
Assets. Invements in employer securities at beginning of year	2023-06-30	$0
Assets. Value of employer real property at end of year	2023-06-30	$0
Assets. Value of employer real property at beginning of year	2023-06-30	$0
Contributions received in cash from employer	2023-06-30	$588,161
Employer contributions (assets) at end of year	2023-06-30	$0
Employer contributions (assets) at beginning of year	2023-06-30	$0
Income. Dividends from preferred stock	2023-06-30	$2,875
Income. Dividends from common stock	2023-06-30	$9,973
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2023-06-30	$1,741,940
Asset. Corporate debt instrument preferred debt at end of year	2023-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2023-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2023-06-30	$324,745
Asset. Corporate debt instrument debt (other) at beginning of year	2023-06-30	$0
Contract administrator fees	2023-06-30	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2023-06-30	No
Assets. Corporate common stocks other than exployer securities at end of year	2023-06-30	$1,529,393
Assets. Corporate common stocks other than exployer securities at beginning of year	2023-06-30	$1,352,299
Liabilities. Value of benefit claims payable at end of year	2023-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2023-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2023-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2023-06-30	$0
Did the plan have assets held for investment	2023-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2023-06-30	No
Aggregate proceeds on sale of assets	2023-06-30	$1,668,062
Aggregate carrying amount (costs) on sale of assets	2023-06-30	$1,588,444
Liabilities. Value of acquisition indebtedness at end of year	2023-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2023-06-30	$0
Opinion of an independent qualified public accountant for this plan	2023-06-30	Unqualified
Accountancy firm name	2023-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2023-06-30	752988353
2022 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2022 401k financial data
Unrealized appreciation/depreciation of real estate assets	2022-07-01	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2022-07-01	$219,526
Total unrealized appreciation/depreciation of assets	2022-07-01	$219,526
Total transfer of assets to this plan	2022-07-01	$0
Total transfer of assets from this plan	2022-07-01	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-07-01	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-07-01	$0
Total income from all sources (including contributions)	2022-07-01	$14,532,412
Total loss/gain on sale of assets	2022-07-01	$79,618
Total of all expenses incurred	2022-07-01	$1,848,812
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-07-01	$1,741,940
Expenses. Certain deemed distributions of participant loans	2022-07-01	$0
Value of total corrective distributions	2022-07-01	$35,016
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-07-01	$8,769,467
Value of total assets at end of year	2022-07-01	$45,454,761
Value of total assets at beginning of year	2022-07-01	$32,771,161
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-07-01	$71,856
Total income from rents	2022-07-01	$0
Total interest from all sources	2022-07-01	$151,405
Total dividends received (eg from common stock, registered investment company shares)	2022-07-01	$668,354
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-07-01	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-07-01	$655,506
Assets. Real estate other than employer real property at end of year	2022-07-01	$0
Assets. Real estate other than employer real property at beginning of year	2022-07-01	$0
Administrative expenses professional fees incurred	2022-07-01	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2022-07-01	$11,330
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2022-07-01	$19,740
Was this plan covered by a fidelity bond	2022-07-01	Yes
Value of fidelity bond cover	2022-07-01	$1,000,000
If this is an individual account plan, was there a blackout period	2022-07-01	No
Were there any nonexempt tranactions with any party-in-interest	2022-07-01	No
Contributions received from participants	2022-07-01	$2,314,934
Participant contributions at end of year	2022-07-01	$294,510
Participant contributions at beginning of year	2022-07-01	$197,257
Participant contributions at end of year	2022-07-01	$0
Participant contributions at beginning of year	2022-07-01	$0
Assets. Other investments not covered elsewhere at end of year	2022-07-01	$91,076
Assets. Other investments not covered elsewhere at beginning of year	2022-07-01	$67,129
Income. Received or receivable in cash from other sources (including rollovers)	2022-07-01	$5,866,372
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2022-07-01	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-07-01	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-07-01	$0
Assets. Loans (other than to participants) at end of year	2022-07-01	$0
Assets. Loans (other than to participants) at beginning of year	2022-07-01	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-07-01	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-07-01	$0
Other income not declared elsewhere	2022-07-01	$0
Administrative expenses (other) incurred	2022-07-01	$71,856
Liabilities. Value of operating payables at end of year	2022-07-01	$0
Liabilities. Value of operating payables at beginning of year	2022-07-01	$0
Total non interest bearing cash at end of year	2022-07-01	$0
Total non interest bearing cash at beginning of year	2022-07-01	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-07-01	No
Income. Non cash contributions	2022-07-01	$0
Value of net income/loss	2022-07-01	$12,683,600
Value of net assets at end of year (total assets less liabilities)	2022-07-01	$45,454,761
Value of net assets at beginning of year (total assets less liabilities)	2022-07-01	$32,771,161
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-07-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-07-01	No
Were any leases to which the plan was party in default or uncollectible	2022-07-01	No
Assets. partnership/joint venture interests at end of year	2022-07-01	$0
Assets. partnership/joint venture interests at beginning of year	2022-07-01	$0
Investment advisory and management fees	2022-07-01	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-07-01	$38,121,535
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-07-01	$26,423,974
Value of interest in pooled separate accounts at end of year	2022-07-01	$0
Value of interest in pooled separate accounts at beginning of year	2022-07-01	$0
Interest on participant loans	2022-07-01	$8,879
Income. Interest from loans (other than to participants)	2022-07-01	$0
Interest earned on other investments	2022-07-01	$0
Income. Interest from US Government securities	2022-07-01	$0
Income. Interest from corporate debt instruments	2022-07-01	$25,878
Value of interest in master investment trust accounts at end of year	2022-07-01	$0
Value of interest in master investment trust accounts at beginning of year	2022-07-01	$0
Value of interest in common/collective trusts at end of year	2022-07-01	$654,528
Value of interest in common/collective trusts at beginning of year	2022-07-01	$996,188
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-07-01	$4,023,554
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-07-01	$116,648
Assets. Value of investments in 103.12 investment entities at end of year	2022-07-01	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2022-07-01	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-07-01	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-07-01	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2022-07-01	$0
Asset value of US Government securities at end of year	2022-07-01	$404,090
Asset value of US Government securities at beginning of year	2022-07-01	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-07-01	$4,637,616
Net investment gain/loss from pooled separate accounts	2022-07-01	$0
Net investment gain or loss from common/collective trusts	2022-07-01	$6,426
Net gain/loss from 103.12 investment entities	2022-07-01	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-07-01	No
Was there a failure to transmit to the plan any participant contributions	2022-07-01	No
Has the plan failed to provide any benefit when due under the plan	2022-07-01	No
Assets. Invements in employer securities at end of year	2022-07-01	$0
Assets. Invements in employer securities at beginning of year	2022-07-01	$0
Assets. Value of employer real property at end of year	2022-07-01	$0
Assets. Value of employer real property at beginning of year	2022-07-01	$0
Contributions received in cash from employer	2022-07-01	$588,161
Employer contributions (assets) at end of year	2022-07-01	$0
Employer contributions (assets) at beginning of year	2022-07-01	$0
Income. Dividends from preferred stock	2022-07-01	$2,875
Income. Dividends from common stock	2022-07-01	$9,973
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-07-01	$1,741,940
Asset. Corporate debt instrument preferred debt at end of year	2022-07-01	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2022-07-01	$0
Asset. Corporate debt instrument debt (other) at end of year	2022-07-01	$324,745
Asset. Corporate debt instrument debt (other) at beginning of year	2022-07-01	$0
Contract administrator fees	2022-07-01	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2022-07-01	No
Assets. Corporate common stocks other than exployer securities at end of year	2022-07-01	$1,529,393
Assets. Corporate common stocks other than exployer securities at beginning of year	2022-07-01	$1,352,299
Liabilities. Value of benefit claims payable at end of year	2022-07-01	$0
Liabilities. Value of benefit claims payable at beginning of year	2022-07-01	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2022-07-01	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2022-07-01	$0
Did the plan have assets held for investment	2022-07-01	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-07-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-07-01	No
Aggregate proceeds on sale of assets	2022-07-01	$1,668,062
Aggregate carrying amount (costs) on sale of assets	2022-07-01	$1,588,444
Liabilities. Value of acquisition indebtedness at end of year	2022-07-01	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2022-07-01	$0
Opinion of an independent qualified public accountant for this plan	2022-07-01	1
Accountancy firm name	2022-07-01	DAVID L BUCK, CPA
Accountancy firm EIN	2022-07-01	752988353
Unrealized appreciation/depreciation of real estate assets	2022-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2022-06-30	$-872,787
Total unrealized appreciation/depreciation of assets	2022-06-30	$-872,787
Total transfer of assets to this plan	2022-06-30	$0
Total transfer of assets from this plan	2022-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-06-30	$0
Expenses. Interest paid	2022-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2022-06-30	$0
Total income from all sources (including contributions)	2022-06-30	$-4,515,270
Total loss/gain on sale of assets	2022-06-30	$44,103
Total of all expenses incurred	2022-06-30	$2,955,453
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-06-30	$2,835,232
Expenses. Certain deemed distributions of participant loans	2022-06-30	$0
Value of total corrective distributions	2022-06-30	$29,487
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-06-30	$2,846,677
Value of total assets at end of year	2022-06-30	$32,771,161
Value of total assets at beginning of year	2022-06-30	$40,241,884
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-06-30	$90,734
Total income from rents	2022-06-30	$0
Total interest from all sources	2022-06-30	$11,978
Total dividends received (eg from common stock, registered investment company shares)	2022-06-30	$1,377,171
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-06-30	$1,361,907
Assets. Real estate other than employer real property at end of year	2022-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2022-06-30	$0
Administrative expenses professional fees incurred	2022-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2022-06-30	$19,740
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2022-06-30	$37,065
Was this plan covered by a fidelity bond	2022-06-30	Yes
Value of fidelity bond cover	2022-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2022-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2022-06-30	No
Contributions received from participants	2022-06-30	$2,318,085
Participant contributions at end of year	2022-06-30	$197,257
Participant contributions at beginning of year	2022-06-30	$340,906
Participant contributions at end of year	2022-06-30	$0
Participant contributions at beginning of year	2022-06-30	$0
Assets. Other investments not covered elsewhere at end of year	2022-06-30	$67,129
Assets. Other investments not covered elsewhere at beginning of year	2022-06-30	$69,180
Income. Received or receivable in cash from other sources (including rollovers)	2022-06-30	$57,440
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2022-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-06-30	$0
Assets. Loans (other than to participants) at end of year	2022-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2022-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-06-30	$0
Other income not declared elsewhere	2022-06-30	$0
Administrative expenses (other) incurred	2022-06-30	$90,734
Liabilities. Value of operating payables at end of year	2022-06-30	$0
Liabilities. Value of operating payables at beginning of year	2022-06-30	$0
Total non interest bearing cash at end of year	2022-06-30	$0
Total non interest bearing cash at beginning of year	2022-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-06-30	No
Income. Non cash contributions	2022-06-30	$0
Value of net income/loss	2022-06-30	$-7,470,723
Value of net assets at end of year (total assets less liabilities)	2022-06-30	$32,771,161
Value of net assets at beginning of year (total assets less liabilities)	2022-06-30	$40,241,884
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-06-30	No
Were any leases to which the plan was party in default or uncollectible	2022-06-30	No
Assets. partnership/joint venture interests at end of year	2022-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2022-06-30	$0
Investment advisory and management fees	2022-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-06-30	$26,423,974
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-06-30	$34,047,847
Value of interest in pooled separate accounts at end of year	2022-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2022-06-30	$0
Interest on participant loans	2022-06-30	$8,420
Income. Interest from loans (other than to participants)	2022-06-30	$0
Interest earned on other investments	2022-06-30	$0
Income. Interest from US Government securities	2022-06-30	$0
Income. Interest from corporate debt instruments	2022-06-30	$0
Value of interest in master investment trust accounts at end of year	2022-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2022-06-30	$0
Value of interest in common/collective trusts at end of year	2022-06-30	$996,188
Value of interest in common/collective trusts at beginning of year	2022-06-30	$274,258
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-06-30	$3,714,574
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-06-30	$3,383,689
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-06-30	$3,383,689
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-06-30	$3,558
Assets. Value of investments in 103.12 investment entities at end of year	2022-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2022-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2022-06-30	$0
Asset value of US Government securities at end of year	2022-06-30	$0
Asset value of US Government securities at beginning of year	2022-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-06-30	$-7,925,966
Net investment gain/loss from pooled separate accounts	2022-06-30	$0
Net investment gain or loss from common/collective trusts	2022-06-30	$3,554
Net gain/loss from 103.12 investment entities	2022-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-06-30	No
Was there a failure to transmit to the plan any participant contributions	2022-06-30	No
Has the plan failed to provide any benefit when due under the plan	2022-06-30	No
Assets. Invements in employer securities at end of year	2022-06-30	$0
Assets. Invements in employer securities at beginning of year	2022-06-30	$0
Assets. Value of employer real property at end of year	2022-06-30	$0
Assets. Value of employer real property at beginning of year	2022-06-30	$0
Contributions received in cash from employer	2022-06-30	$471,152
Employer contributions (assets) at end of year	2022-06-30	$0
Employer contributions (assets) at beginning of year	2022-06-30	$0
Income. Dividends from preferred stock	2022-06-30	$2,931
Income. Dividends from common stock	2022-06-30	$12,333
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-06-30	$2,835,232
Asset. Corporate debt instrument preferred debt at end of year	2022-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2022-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2022-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2022-06-30	$0
Contract administrator fees	2022-06-30	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2022-06-30	No
Assets. Corporate common stocks other than exployer securities at end of year	2022-06-30	$1,352,299
Assets. Corporate common stocks other than exployer securities at beginning of year	2022-06-30	$2,088,939
Liabilities. Value of benefit claims payable at end of year	2022-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2022-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2022-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2022-06-30	$0
Did the plan have assets held for investment	2022-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-06-30	No
Aggregate proceeds on sale of assets	2022-06-30	$2,130,210
Aggregate carrying amount (costs) on sale of assets	2022-06-30	$2,086,107
Liabilities. Value of acquisition indebtedness at end of year	2022-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2022-06-30	$0
Opinion of an independent qualified public accountant for this plan	2022-06-30	Unqualified
Accountancy firm name	2022-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2022-06-30	752988353
2021 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2021 401k financial data
Unrealized appreciation/depreciation of real estate assets	2021-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2021-06-30	$747,718
Total unrealized appreciation/depreciation of assets	2021-06-30	$747,718
Total transfer of assets to this plan	2021-06-30	$0
Total transfer of assets from this plan	2021-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-06-30	$0
Expenses. Interest paid	2021-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2021-06-30	$0
Total income from all sources (including contributions)	2021-06-30	$14,034,710
Total loss/gain on sale of assets	2021-06-30	$213,892
Total of all expenses incurred	2021-06-30	$2,558,052
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-06-30	$2,483,869
Expenses. Certain deemed distributions of participant loans	2021-06-30	$0
Value of total corrective distributions	2021-06-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-06-30	$2,465,593
Value of total assets at end of year	2021-06-30	$40,241,884
Value of total assets at beginning of year	2021-06-30	$28,765,226
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-06-30	$74,183
Total income from rents	2021-06-30	$0
Total interest from all sources	2021-06-30	$11,526
Total dividends received (eg from common stock, registered investment company shares)	2021-06-30	$800,611
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-06-30	$792,668
Assets. Real estate other than employer real property at end of year	2021-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2021-06-30	$0
Administrative expenses professional fees incurred	2021-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2021-06-30	$37,065
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2021-06-30	$0
Was this plan covered by a fidelity bond	2021-06-30	Yes
Value of fidelity bond cover	2021-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2021-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2021-06-30	No
Contributions received from participants	2021-06-30	$2,034,012
Participant contributions at end of year	2021-06-30	$340,906
Participant contributions at beginning of year	2021-06-30	$310,036
Participant contributions at end of year	2021-06-30	$0
Participant contributions at beginning of year	2021-06-30	$0
Assets. Other investments not covered elsewhere at end of year	2021-06-30	$69,180
Assets. Other investments not covered elsewhere at beginning of year	2021-06-30	$4,875
Income. Received or receivable in cash from other sources (including rollovers)	2021-06-30	$17,221
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2021-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-06-30	$0
Assets. Loans (other than to participants) at end of year	2021-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2021-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-06-30	$0
Other income not declared elsewhere	2021-06-30	$0
Administrative expenses (other) incurred	2021-06-30	$74,183
Liabilities. Value of operating payables at end of year	2021-06-30	$0
Liabilities. Value of operating payables at beginning of year	2021-06-30	$0
Total non interest bearing cash at end of year	2021-06-30	$0
Total non interest bearing cash at beginning of year	2021-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-06-30	No
Income. Non cash contributions	2021-06-30	$0
Value of net income/loss	2021-06-30	$11,476,658
Value of net assets at end of year (total assets less liabilities)	2021-06-30	$40,241,884
Value of net assets at beginning of year (total assets less liabilities)	2021-06-30	$28,765,226
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-06-30	No
Were any leases to which the plan was party in default or uncollectible	2021-06-30	No
Assets. partnership/joint venture interests at end of year	2021-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2021-06-30	$0
Investment advisory and management fees	2021-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-06-30	$34,047,847
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-06-30	$23,396,349
Value of interest in pooled separate accounts at end of year	2021-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2021-06-30	$0
Interest on participant loans	2021-06-30	$11,096
Income. Interest from loans (other than to participants)	2021-06-30	$0
Interest earned on other investments	2021-06-30	$0
Income. Interest from US Government securities	2021-06-30	$0
Income. Interest from corporate debt instruments	2021-06-30	$0
Value of interest in master investment trust accounts at end of year	2021-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2021-06-30	$0
Value of interest in common/collective trusts at end of year	2021-06-30	$274,258
Value of interest in common/collective trusts at beginning of year	2021-06-30	$318,549
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-06-30	$3,383,689
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-06-30	$4,094,042
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-06-30	$4,094,042
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-06-30	$430
Assets. Value of investments in 103.12 investment entities at end of year	2021-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2021-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2021-06-30	$0
Asset value of US Government securities at end of year	2021-06-30	$0
Asset value of US Government securities at beginning of year	2021-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-06-30	$9,792,340
Net investment gain/loss from pooled separate accounts	2021-06-30	$0
Net investment gain or loss from common/collective trusts	2021-06-30	$3,030
Net gain/loss from 103.12 investment entities	2021-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-06-30	No
Was there a failure to transmit to the plan any participant contributions	2021-06-30	No
Has the plan failed to provide any benefit when due under the plan	2021-06-30	No
Assets. Invements in employer securities at end of year	2021-06-30	$0
Assets. Invements in employer securities at beginning of year	2021-06-30	$0
Assets. Value of employer real property at end of year	2021-06-30	$0
Assets. Value of employer real property at beginning of year	2021-06-30	$0
Contributions received in cash from employer	2021-06-30	$414,360
Employer contributions (assets) at end of year	2021-06-30	$0
Employer contributions (assets) at beginning of year	2021-06-30	$0
Income. Dividends from preferred stock	2021-06-30	$0
Income. Dividends from common stock	2021-06-30	$7,943
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-06-30	$2,483,869
Asset. Corporate debt instrument preferred debt at end of year	2021-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2021-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2021-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2021-06-30	$0
Contract administrator fees	2021-06-30	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2021-06-30	No
Assets. Corporate common stocks other than exployer securities at end of year	2021-06-30	$2,088,939
Assets. Corporate common stocks other than exployer securities at beginning of year	2021-06-30	$641,375
Liabilities. Value of benefit claims payable at end of year	2021-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2021-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2021-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2021-06-30	$0
Did the plan have assets held for investment	2021-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-06-30	No
Aggregate proceeds on sale of assets	2021-06-30	$1,919,999
Aggregate carrying amount (costs) on sale of assets	2021-06-30	$1,706,107
Liabilities. Value of acquisition indebtedness at end of year	2021-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2021-06-30	$0
Opinion of an independent qualified public accountant for this plan	2021-06-30	Disclaimer
Accountancy firm name	2021-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2021-06-30	752988353
2020 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets	2020-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2020-06-30	$-49,040
Total unrealized appreciation/depreciation of assets	2020-06-30	$-49,040
Total transfer of assets to this plan	2020-06-30	$0
Total transfer of assets from this plan	2020-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-06-30	$0
Expenses. Interest paid	2020-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2020-06-30	$0
Total income from all sources (including contributions)	2020-06-30	$2,772,057
Total loss/gain on sale of assets	2020-06-30	$-15,807
Total of all expenses incurred	2020-06-30	$2,727,294
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-06-30	$2,649,892
Expenses. Certain deemed distributions of participant loans	2020-06-30	$0
Value of total corrective distributions	2020-06-30	$4,332
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-06-30	$2,071,507
Value of total assets at end of year	2020-06-30	$28,765,226
Value of total assets at beginning of year	2020-06-30	$28,720,463
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-06-30	$73,070
Total income from rents	2020-06-30	$0
Total interest from all sources	2020-06-30	$42,330
Total dividends received (eg from common stock, registered investment company shares)	2020-06-30	$731,649
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-06-30	$721,862
Assets. Real estate other than employer real property at end of year	2020-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2020-06-30	$0
Administrative expenses professional fees incurred	2020-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2020-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2020-06-30	$9,624
Was this plan covered by a fidelity bond	2020-06-30	Yes
Value of fidelity bond cover	2020-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2020-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2020-06-30	No
Contributions received from participants	2020-06-30	$1,617,046
Participant contributions at end of year	2020-06-30	$310,036
Participant contributions at beginning of year	2020-06-30	$281,898
Participant contributions at end of year	2020-06-30	$0
Participant contributions at beginning of year	2020-06-30	$0
Assets. Other investments not covered elsewhere at end of year	2020-06-30	$4,875
Assets. Other investments not covered elsewhere at beginning of year	2020-06-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-06-30	$1,451
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2020-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-06-30	$0
Assets. Loans (other than to participants) at end of year	2020-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2020-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-06-30	$0
Other income not declared elsewhere	2020-06-30	$0
Administrative expenses (other) incurred	2020-06-30	$73,070
Liabilities. Value of operating payables at end of year	2020-06-30	$0
Liabilities. Value of operating payables at beginning of year	2020-06-30	$0
Total non interest bearing cash at end of year	2020-06-30	$0
Total non interest bearing cash at beginning of year	2020-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-06-30	No
Income. Non cash contributions	2020-06-30	$0
Value of net income/loss	2020-06-30	$44,763
Value of net assets at end of year (total assets less liabilities)	2020-06-30	$28,765,226
Value of net assets at beginning of year (total assets less liabilities)	2020-06-30	$28,720,463
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-06-30	No
Were any leases to which the plan was party in default or uncollectible	2020-06-30	No
Assets. partnership/joint venture interests at end of year	2020-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2020-06-30	$0
Investment advisory and management fees	2020-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-06-30	$23,396,349
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-06-30	$24,270,437
Value of interest in pooled separate accounts at end of year	2020-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2020-06-30	$0
Interest on participant loans	2020-06-30	$11,328
Income. Interest from loans (other than to participants)	2020-06-30	$0
Interest earned on other investments	2020-06-30	$0
Income. Interest from US Government securities	2020-06-30	$0
Income. Interest from corporate debt instruments	2020-06-30	$0
Value of interest in master investment trust accounts at end of year	2020-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2020-06-30	$0
Value of interest in common/collective trusts at end of year	2020-06-30	$318,549
Value of interest in common/collective trusts at beginning of year	2020-06-30	$144,275
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-06-30	$4,094,042
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-06-30	$2,663,041
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-06-30	$2,663,041
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-06-30	$31,002
Assets. Value of investments in 103.12 investment entities at end of year	2020-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2020-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2020-06-30	$0
Asset value of US Government securities at end of year	2020-06-30	$0
Asset value of US Government securities at beginning of year	2020-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-06-30	$-12,439
Net investment gain/loss from pooled separate accounts	2020-06-30	$0
Net investment gain or loss from common/collective trusts	2020-06-30	$3,857
Net gain/loss from 103.12 investment entities	2020-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-06-30	No
Was there a failure to transmit to the plan any participant contributions	2020-06-30	No
Has the plan failed to provide any benefit when due under the plan	2020-06-30	No
Assets. Invements in employer securities at end of year	2020-06-30	$0
Assets. Invements in employer securities at beginning of year	2020-06-30	$0
Assets. Value of employer real property at end of year	2020-06-30	$0
Assets. Value of employer real property at beginning of year	2020-06-30	$0
Contributions received in cash from employer	2020-06-30	$453,010
Employer contributions (assets) at end of year	2020-06-30	$0
Employer contributions (assets) at beginning of year	2020-06-30	$0
Income. Dividends from preferred stock	2020-06-30	$581
Income. Dividends from common stock	2020-06-30	$9,206
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-06-30	$2,649,892
Asset. Corporate debt instrument preferred debt at end of year	2020-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2020-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2020-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2020-06-30	$0
Contract administrator fees	2020-06-30	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-06-30	No
Assets. Corporate common stocks other than exployer securities at end of year	2020-06-30	$641,375
Assets. Corporate common stocks other than exployer securities at beginning of year	2020-06-30	$1,351,188
Liabilities. Value of benefit claims payable at end of year	2020-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2020-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2020-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2020-06-30	$0
Did the plan have assets held for investment	2020-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-06-30	No
Aggregate proceeds on sale of assets	2020-06-30	$2,834,761
Aggregate carrying amount (costs) on sale of assets	2020-06-30	$2,850,568
Liabilities. Value of acquisition indebtedness at end of year	2020-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2020-06-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2020-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2020-06-30	Disclaimer
Accountancy firm name	2020-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2020-06-30	752988353
2019 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets	2019-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-06-30	$-31,509
Total unrealized appreciation/depreciation of assets	2019-06-30	$-31,509
Total transfer of assets to this plan	2019-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-06-30	$0
Expenses. Interest paid	2019-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2019-06-30	$0
Total income from all sources (including contributions)	2019-06-30	$2,993,402
Total loss/gain on sale of assets	2019-06-30	$223,703
Total of all expenses incurred	2019-06-30	$2,554,990
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-06-30	$2,486,684
Expenses. Certain deemed distributions of participant loans	2019-06-30	$0
Value of total corrective distributions	2019-06-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-06-30	$1,695,584
Value of total assets at end of year	2019-06-30	$28,720,463
Value of total assets at beginning of year	2019-06-30	$28,282,051
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-06-30	$68,306
Total income from rents	2019-06-30	$0
Total interest from all sources	2019-06-30	$47,128
Total dividends received (eg from common stock, registered investment company shares)	2019-06-30	$1,782,029
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-06-30	$1,770,968
Assets. Real estate other than employer real property at end of year	2019-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2019-06-30	$0
Administrative expenses professional fees incurred	2019-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2019-06-30	$9,624
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2019-06-30	$9,584
Was this plan covered by a fidelity bond	2019-06-30	Yes
Value of fidelity bond cover	2019-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2019-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2019-06-30	No
Contributions received from participants	2019-06-30	$1,695,584
Participant contributions at end of year	2019-06-30	$281,898
Participant contributions at beginning of year	2019-06-30	$354,163
Participant contributions at end of year	2019-06-30	$0
Participant contributions at beginning of year	2019-06-30	$116,035
Assets. Other investments not covered elsewhere at end of year	2019-06-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2019-06-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2019-06-30	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-06-30	$0
Assets. Loans (other than to participants) at end of year	2019-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2019-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-06-30	$0
Other income not declared elsewhere	2019-06-30	$0
Administrative expenses (other) incurred	2019-06-30	$68,306
Liabilities. Value of operating payables at end of year	2019-06-30	$0
Liabilities. Value of operating payables at beginning of year	2019-06-30	$0
Total non interest bearing cash at end of year	2019-06-30	$0
Total non interest bearing cash at beginning of year	2019-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-06-30	No
Income. Non cash contributions	2019-06-30	$0
Value of net income/loss	2019-06-30	$438,412
Value of net assets at end of year (total assets less liabilities)	2019-06-30	$28,720,463
Value of net assets at beginning of year (total assets less liabilities)	2019-06-30	$28,282,051
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-06-30	No
Were any leases to which the plan was party in default or uncollectible	2019-06-30	No
Assets. partnership/joint venture interests at end of year	2019-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2019-06-30	$0
Investment advisory and management fees	2019-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-06-30	$24,270,437
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-06-30	$24,331,215
Value of interest in pooled separate accounts at end of year	2019-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2019-06-30	$0
Interest on participant loans	2019-06-30	$14,461
Income. Interest from loans (other than to participants)	2019-06-30	$0
Interest earned on other investments	2019-06-30	$0
Income. Interest from US Government securities	2019-06-30	$0
Income. Interest from corporate debt instruments	2019-06-30	$0
Value of interest in master investment trust accounts at end of year	2019-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2019-06-30	$0
Value of interest in common/collective trusts at end of year	2019-06-30	$144,275
Value of interest in common/collective trusts at beginning of year	2019-06-30	$132,297
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-06-30	$2,663,041
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-06-30	$1,875,797
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-06-30	$1,875,797
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-06-30	$32,667
Assets. Value of investments in 103.12 investment entities at end of year	2019-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2019-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2019-06-30	$0
Asset value of US Government securities at end of year	2019-06-30	$0
Asset value of US Government securities at beginning of year	2019-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-06-30	$-725,876
Net investment gain/loss from pooled separate accounts	2019-06-30	$0
Net investment gain or loss from common/collective trusts	2019-06-30	$2,343
Net gain/loss from 103.12 investment entities	2019-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-06-30	No
Was there a failure to transmit to the plan any participant contributions	2019-06-30	No
Has the plan failed to provide any benefit when due under the plan	2019-06-30	No
Assets. Invements in employer securities at end of year	2019-06-30	$0
Assets. Invements in employer securities at beginning of year	2019-06-30	$0
Assets. Value of employer real property at end of year	2019-06-30	$0
Assets. Value of employer real property at beginning of year	2019-06-30	$0
Contributions received in cash from employer	2019-06-30	$0
Employer contributions (assets) at end of year	2019-06-30	$0
Employer contributions (assets) at beginning of year	2019-06-30	$401,748
Income. Dividends from preferred stock	2019-06-30	$775
Income. Dividends from common stock	2019-06-30	$10,286
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-06-30	$2,486,684
Asset. Corporate debt instrument preferred debt at end of year	2019-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2019-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2019-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2019-06-30	$0
Contract administrator fees	2019-06-30	$0
Assets. Corporate common stocks other than exployer securities at end of year	2019-06-30	$1,351,188
Assets. Corporate common stocks other than exployer securities at beginning of year	2019-06-30	$1,061,212
Liabilities. Value of benefit claims payable at end of year	2019-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2019-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2019-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2019-06-30	$0
Did the plan have assets held for investment	2019-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-06-30	No
Aggregate proceeds on sale of assets	2019-06-30	$2,120,434
Aggregate carrying amount (costs) on sale of assets	2019-06-30	$1,896,731
Liabilities. Value of acquisition indebtedness at end of year	2019-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2019-06-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2019-06-30	Disclaimer
Accountancy firm name	2019-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2019-06-30	752988353
2018 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-06-30	$70,019
Total unrealized appreciation/depreciation of assets	2018-06-30	$70,019
Total transfer of assets to this plan	2018-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-06-30	$0
Expenses. Interest paid	2018-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2018-06-30	$0
Total income from all sources (including contributions)	2018-06-30	$5,677,617
Total loss/gain on sale of assets	2018-06-30	$86,627
Total of all expenses incurred	2018-06-30	$1,404,115
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-06-30	$1,327,310
Expenses. Certain deemed distributions of participant loans	2018-06-30	$0
Value of total corrective distributions	2018-06-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-06-30	$2,422,993
Value of total assets at end of year	2018-06-30	$28,282,051
Value of total assets at beginning of year	2018-06-30	$24,008,549
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-06-30	$76,805
Total income from rents	2018-06-30	$0
Total interest from all sources	2018-06-30	$30,803
Total dividends received (eg from common stock, registered investment company shares)	2018-06-30	$1,150,930
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-06-30	$1,145,184
Assets. Real estate other than employer real property at end of year	2018-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2018-06-30	$0
Administrative expenses professional fees incurred	2018-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2018-06-30	$9,584
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2018-06-30	$9,920
Was this plan covered by a fidelity bond	2018-06-30	Yes
Value of fidelity bond cover	2018-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2018-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2018-06-30	No
Contributions received from participants	2018-06-30	$1,319,365
Participant contributions at end of year	2018-06-30	$354,163
Participant contributions at beginning of year	2018-06-30	$250,715
Participant contributions at end of year	2018-06-30	$116,035
Participant contributions at beginning of year	2018-06-30	$27,462
Assets. Other investments not covered elsewhere at end of year	2018-06-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2018-06-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2018-06-30	$701,880
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-06-30	$0
Assets. Loans (other than to participants) at end of year	2018-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2018-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-06-30	$0
Other income not declared elsewhere	2018-06-30	$0
Administrative expenses (other) incurred	2018-06-30	$76,805
Liabilities. Value of operating payables at end of year	2018-06-30	$0
Liabilities. Value of operating payables at beginning of year	2018-06-30	$0
Total non interest bearing cash at end of year	2018-06-30	$0
Total non interest bearing cash at beginning of year	2018-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-06-30	No
Income. Non cash contributions	2018-06-30	$0
Value of net income/loss	2018-06-30	$4,273,502
Value of net assets at end of year (total assets less liabilities)	2018-06-30	$28,282,051
Value of net assets at beginning of year (total assets less liabilities)	2018-06-30	$24,008,549
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-06-30	No
Were any leases to which the plan was party in default or uncollectible	2018-06-30	No
Assets. partnership/joint venture interests at end of year	2018-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2018-06-30	$0
Investment advisory and management fees	2018-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-06-30	$24,331,215
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-06-30	$20,400,251
Value of interest in pooled separate accounts at end of year	2018-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2018-06-30	$0
Interest on participant loans	2018-06-30	$11,588
Income. Interest from loans (other than to participants)	2018-06-30	$0
Interest earned on other investments	2018-06-30	$0
Income. Interest from US Government securities	2018-06-30	$0
Income. Interest from corporate debt instruments	2018-06-30	$0
Value of interest in master investment trust accounts at end of year	2018-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2018-06-30	$0
Value of interest in common/collective trusts at end of year	2018-06-30	$132,297
Value of interest in common/collective trusts at beginning of year	2018-06-30	$154,938
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-06-30	$1,875,797
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-06-30	$2,025,645
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-06-30	$2,025,645
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-06-30	$19,215
Assets. Value of investments in 103.12 investment entities at end of year	2018-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2018-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2018-06-30	$0
Asset value of US Government securities at end of year	2018-06-30	$0
Asset value of US Government securities at beginning of year	2018-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-06-30	$1,914,358
Net investment gain/loss from pooled separate accounts	2018-06-30	$0
Net investment gain or loss from common/collective trusts	2018-06-30	$1,887
Net gain/loss from 103.12 investment entities	2018-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-06-30	No
Was there a failure to transmit to the plan any participant contributions	2018-06-30	No
Has the plan failed to provide any benefit when due under the plan	2018-06-30	No
Assets. Invements in employer securities at end of year	2018-06-30	$0
Assets. Invements in employer securities at beginning of year	2018-06-30	$0
Assets. Value of employer real property at end of year	2018-06-30	$0
Assets. Value of employer real property at beginning of year	2018-06-30	$0
Contributions received in cash from employer	2018-06-30	$401,748
Employer contributions (assets) at end of year	2018-06-30	$401,748
Employer contributions (assets) at beginning of year	2018-06-30	$371,517
Income. Dividends from preferred stock	2018-06-30	$775
Income. Dividends from common stock	2018-06-30	$4,971
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-06-30	$1,327,310
Asset. Corporate debt instrument preferred debt at end of year	2018-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2018-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2018-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2018-06-30	$0
Contract administrator fees	2018-06-30	$0
Assets. Corporate common stocks other than exployer securities at end of year	2018-06-30	$1,061,212
Assets. Corporate common stocks other than exployer securities at beginning of year	2018-06-30	$768,101
Liabilities. Value of benefit claims payable at end of year	2018-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2018-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2018-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2018-06-30	$0
Did the plan have assets held for investment	2018-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-06-30	No
Aggregate proceeds on sale of assets	2018-06-30	$2,800,134
Aggregate carrying amount (costs) on sale of assets	2018-06-30	$2,713,507
Liabilities. Value of acquisition indebtedness at end of year	2018-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2018-06-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2018-06-30	Disclaimer
Accountancy firm name	2018-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2018-06-30	752988353
2017 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-06-30	$-48,277
Total unrealized appreciation/depreciation of assets	2017-06-30	$-48,277
Total transfer of assets to this plan	2017-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-30	$0
Expenses. Interest paid	2017-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-06-30	$0
Total income from all sources (including contributions)	2017-06-30	$5,458,626
Total loss/gain on sale of assets	2017-06-30	$115,970
Total of all expenses incurred	2017-06-30	$3,822,189
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-06-30	$3,758,733
Expenses. Certain deemed distributions of participant loans	2017-06-30	$0
Value of total corrective distributions	2017-06-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-06-30	$1,824,942
Value of total assets at end of year	2017-06-30	$24,008,549
Value of total assets at beginning of year	2017-06-30	$22,372,112
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-06-30	$63,456
Total income from rents	2017-06-30	$0
Total interest from all sources	2017-06-30	$13,245
Total dividends received (eg from common stock, registered investment company shares)	2017-06-30	$534,932
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-06-30	$526,447
Assets. Real estate other than employer real property at end of year	2017-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2017-06-30	$0
Administrative expenses professional fees incurred	2017-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2017-06-30	$9,920
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2017-06-30	$9,200
Was this plan covered by a fidelity bond	2017-06-30	Yes
Value of fidelity bond cover	2017-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2017-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2017-06-30	No
Contributions received from participants	2017-06-30	$1,225,454
Participant contributions at end of year	2017-06-30	$250,715
Participant contributions at beginning of year	2017-06-30	$242,058
Participant contributions at end of year	2017-06-30	$27,462
Participant contributions at beginning of year	2017-06-30	$30,763
Assets. Other investments not covered elsewhere at end of year	2017-06-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-06-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-06-30	$227,971
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-06-30	$0
Assets. Loans (other than to participants) at end of year	2017-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2017-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-06-30	$0
Other income not declared elsewhere	2017-06-30	$0
Administrative expenses (other) incurred	2017-06-30	$63,456
Liabilities. Value of operating payables at end of year	2017-06-30	$0
Liabilities. Value of operating payables at beginning of year	2017-06-30	$0
Total non interest bearing cash at end of year	2017-06-30	$0
Total non interest bearing cash at beginning of year	2017-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-30	No
Income. Non cash contributions	2017-06-30	$0
Value of net income/loss	2017-06-30	$1,636,437
Value of net assets at end of year (total assets less liabilities)	2017-06-30	$24,008,549
Value of net assets at beginning of year (total assets less liabilities)	2017-06-30	$22,372,112
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-06-30	No
Were any leases to which the plan was party in default or uncollectible	2017-06-30	No
Assets. partnership/joint venture interests at end of year	2017-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2017-06-30	$0
Investment advisory and management fees	2017-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-06-30	$20,400,251
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-06-30	$18,222,729
Value of interest in pooled separate accounts at end of year	2017-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2017-06-30	$0
Interest on participant loans	2017-06-30	$8,415
Income. Interest from loans (other than to participants)	2017-06-30	$0
Interest earned on other investments	2017-06-30	$0
Income. Interest from US Government securities	2017-06-30	$0
Income. Interest from corporate debt instruments	2017-06-30	$0
Value of interest in master investment trust accounts at end of year	2017-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2017-06-30	$0
Value of interest in common/collective trusts at end of year	2017-06-30	$154,938
Value of interest in common/collective trusts at beginning of year	2017-06-30	$1,162,376
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-06-30	$2,025,645
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-06-30	$1,554,960
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-06-30	$1,554,960
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-06-30	$4,830
Assets. Value of investments in 103.12 investment entities at end of year	2017-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2017-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2017-06-30	$0
Asset value of US Government securities at end of year	2017-06-30	$0
Asset value of US Government securities at beginning of year	2017-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-06-30	$3,011,755
Net investment gain/loss from pooled separate accounts	2017-06-30	$0
Net investment gain or loss from common/collective trusts	2017-06-30	$6,059
Net gain/loss from 103.12 investment entities	2017-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-06-30	No
Was there a failure to transmit to the plan any participant contributions	2017-06-30	No
Has the plan failed to provide any benefit when due under the plan	2017-06-30	No
Assets. Invements in employer securities at end of year	2017-06-30	$0
Assets. Invements in employer securities at beginning of year	2017-06-30	$0
Assets. Value of employer real property at end of year	2017-06-30	$0
Assets. Value of employer real property at beginning of year	2017-06-30	$0
Contributions received in cash from employer	2017-06-30	$371,517
Employer contributions (assets) at end of year	2017-06-30	$371,517
Employer contributions (assets) at beginning of year	2017-06-30	$382,262
Income. Dividends from preferred stock	2017-06-30	$775
Income. Dividends from common stock	2017-06-30	$7,710
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-06-30	$3,758,733
Asset. Corporate debt instrument preferred debt at end of year	2017-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2017-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2017-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2017-06-30	$0
Contract administrator fees	2017-06-30	$0
Assets. Corporate common stocks other than exployer securities at end of year	2017-06-30	$768,101
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-06-30	$767,764
Liabilities. Value of benefit claims payable at end of year	2017-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2017-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2017-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2017-06-30	$0
Did the plan have assets held for investment	2017-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-06-30	No
Aggregate proceeds on sale of assets	2017-06-30	$2,288,119
Aggregate carrying amount (costs) on sale of assets	2017-06-30	$2,172,149
Liabilities. Value of acquisition indebtedness at end of year	2017-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-06-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2017-06-30	Disclaimer
Accountancy firm name	2017-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2017-06-30	752988353
2016 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-06-30	$-142,796
Total unrealized appreciation/depreciation of assets	2016-06-30	$-142,796
Total transfer of assets to this plan	2016-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-06-30	$0
Expenses. Interest paid	2016-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-06-30	$0
Total income from all sources (including contributions)	2016-06-30	$1,255,116
Total loss/gain on sale of assets	2016-06-30	$13,426
Total of all expenses incurred	2016-06-30	$870,439
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-06-30	$802,254
Expenses. Certain deemed distributions of participant loans	2016-06-30	$0
Value of total corrective distributions	2016-06-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-06-30	$1,787,389
Value of total assets at end of year	2016-06-30	$22,372,112
Value of total assets at beginning of year	2016-06-30	$21,987,435
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-06-30	$68,185
Total income from rents	2016-06-30	$0
Total interest from all sources	2016-06-30	$9,133
Total dividends received (eg from common stock, registered investment company shares)	2016-06-30	$722,056
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-06-30	$702,637
Assets. Real estate other than employer real property at end of year	2016-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2016-06-30	$0
Administrative expenses professional fees incurred	2016-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2016-06-30	$9,200
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2016-06-30	$0
Was this plan covered by a fidelity bond	2016-06-30	Yes
Value of fidelity bond cover	2016-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2016-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2016-06-30	No
Contributions received from participants	2016-06-30	$1,232,973
Participant contributions at end of year	2016-06-30	$242,058
Participant contributions at beginning of year	2016-06-30	$177,038
Participant contributions at end of year	2016-06-30	$30,763
Participant contributions at beginning of year	2016-06-30	$41,331
Assets. Other investments not covered elsewhere at end of year	2016-06-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-06-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-06-30	$172,154
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-06-30	$0
Assets. Loans (other than to participants) at end of year	2016-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2016-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-06-30	$0
Other income not declared elsewhere	2016-06-30	$0
Administrative expenses (other) incurred	2016-06-30	$68,185
Liabilities. Value of operating payables at end of year	2016-06-30	$0
Liabilities. Value of operating payables at beginning of year	2016-06-30	$0
Total non interest bearing cash at end of year	2016-06-30	$0
Total non interest bearing cash at beginning of year	2016-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-06-30	No
Income. Non cash contributions	2016-06-30	$0
Value of net income/loss	2016-06-30	$384,677
Value of net assets at end of year (total assets less liabilities)	2016-06-30	$22,372,112
Value of net assets at beginning of year (total assets less liabilities)	2016-06-30	$21,987,435
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-06-30	No
Were any leases to which the plan was party in default or uncollectible	2016-06-30	No
Assets. partnership/joint venture interests at end of year	2016-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2016-06-30	$0
Investment advisory and management fees	2016-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-06-30	$18,222,729
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-06-30	$18,484,673
Value of interest in pooled separate accounts at end of year	2016-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2016-06-30	$0
Interest on participant loans	2016-06-30	$8,843
Income. Interest from loans (other than to participants)	2016-06-30	$0
Interest earned on other investments	2016-06-30	$0
Income. Interest from US Government securities	2016-06-30	$0
Income. Interest from corporate debt instruments	2016-06-30	$0
Value of interest in master investment trust accounts at end of year	2016-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2016-06-30	$0
Value of interest in common/collective trusts at end of year	2016-06-30	$1,162,376
Value of interest in common/collective trusts at beginning of year	2016-06-30	$1,058,045
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-06-30	$1,554,960
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-06-30	$921,113
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-06-30	$921,113
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-06-30	$290
Assets. Value of investments in 103.12 investment entities at end of year	2016-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2016-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-06-30	$0
Asset value of US Government securities at end of year	2016-06-30	$0
Asset value of US Government securities at beginning of year	2016-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-06-30	$-1,145,934
Net investment gain/loss from pooled separate accounts	2016-06-30	$0
Net investment gain or loss from common/collective trusts	2016-06-30	$11,842
Net gain/loss from 103.12 investment entities	2016-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-06-30	No
Was there a failure to transmit to the plan any participant contributions	2016-06-30	No
Has the plan failed to provide any benefit when due under the plan	2016-06-30	No
Assets. Invements in employer securities at end of year	2016-06-30	$0
Assets. Invements in employer securities at beginning of year	2016-06-30	$0
Assets. Value of employer real property at end of year	2016-06-30	$0
Assets. Value of employer real property at beginning of year	2016-06-30	$0
Contributions received in cash from employer	2016-06-30	$382,262
Employer contributions (assets) at end of year	2016-06-30	$382,262
Employer contributions (assets) at beginning of year	2016-06-30	$403,801
Income. Dividends from preferred stock	2016-06-30	$194
Income. Dividends from common stock	2016-06-30	$19,225
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-06-30	$802,254
Asset. Corporate debt instrument preferred debt at end of year	2016-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2016-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2016-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2016-06-30	$0
Contract administrator fees	2016-06-30	$0
Assets. Corporate common stocks other than exployer securities at end of year	2016-06-30	$767,764
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-06-30	$901,434
Liabilities. Value of benefit claims payable at end of year	2016-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2016-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2016-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2016-06-30	$0
Did the plan have assets held for investment	2016-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-06-30	No
Aggregate proceeds on sale of assets	2016-06-30	$857,852
Aggregate carrying amount (costs) on sale of assets	2016-06-30	$844,426
Liabilities. Value of acquisition indebtedness at end of year	2016-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-06-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2016-06-30	Disclaimer
Accountancy firm name	2016-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2016-06-30	752988353
2015 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-06-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-06-30	$-44,379
Total unrealized appreciation/depreciation of assets	2015-06-30	$-44,379
Total transfer of assets to this plan	2015-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-06-30	$0
Expenses. Interest paid	2015-06-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-06-30	$0
Total income from all sources (including contributions)	2015-06-30	$2,886,903
Total loss/gain on sale of assets	2015-06-30	$73,144
Total of all expenses incurred	2015-06-30	$1,640,078
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-06-30	$1,569,381
Expenses. Certain deemed distributions of participant loans	2015-06-30	$0
Value of total corrective distributions	2015-06-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-06-30	$2,227,972
Value of total assets at end of year	2015-06-30	$21,987,435
Value of total assets at beginning of year	2015-06-30	$20,740,610
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-06-30	$70,697
Total income from rents	2015-06-30	$0
Total interest from all sources	2015-06-30	$7,298
Total dividends received (eg from common stock, registered investment company shares)	2015-06-30	$635,909
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-06-30	$627,602
Assets. Real estate other than employer real property at end of year	2015-06-30	$0
Assets. Real estate other than employer real property at beginning of year	2015-06-30	$0
Administrative expenses professional fees incurred	2015-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-06-30	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-06-30	$0
Was this plan covered by a fidelity bond	2015-06-30	Yes
Value of fidelity bond cover	2015-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2015-06-30	Yes
Were there any nonexempt tranactions with any party-in-interest	2015-06-30	No
Contributions received from participants	2015-06-30	$1,422,961
Participant contributions at end of year	2015-06-30	$177,038
Participant contributions at beginning of year	2015-06-30	$151,567
Participant contributions at end of year	2015-06-30	$41,331
Participant contributions at beginning of year	2015-06-30	$0
Assets. Other investments not covered elsewhere at end of year	2015-06-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-06-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-06-30	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-06-30	$0
Assets. Loans (other than to participants) at end of year	2015-06-30	$0
Assets. Loans (other than to participants) at beginning of year	2015-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-06-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-06-30	$0
Other income not declared elsewhere	2015-06-30	$0
Administrative expenses (other) incurred	2015-06-30	$70,697
Liabilities. Value of operating payables at end of year	2015-06-30	$0
Liabilities. Value of operating payables at beginning of year	2015-06-30	$0
Total non interest bearing cash at end of year	2015-06-30	$0
Total non interest bearing cash at beginning of year	2015-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-06-30	No
Income. Non cash contributions	2015-06-30	$0
Value of net income/loss	2015-06-30	$1,246,825
Value of net assets at end of year (total assets less liabilities)	2015-06-30	$21,987,435
Value of net assets at beginning of year (total assets less liabilities)	2015-06-30	$20,740,610
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-06-30	No
Were any leases to which the plan was party in default or uncollectible	2015-06-30	No
Assets. partnership/joint venture interests at end of year	2015-06-30	$0
Assets. partnership/joint venture interests at beginning of year	2015-06-30	$0
Investment advisory and management fees	2015-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-06-30	$18,484,673
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-06-30	$0
Value of interest in pooled separate accounts at end of year	2015-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2015-06-30	$0
Interest on participant loans	2015-06-30	$7,154
Income. Interest from loans (other than to participants)	2015-06-30	$0
Interest earned on other investments	2015-06-30	$0
Income. Interest from US Government securities	2015-06-30	$0
Income. Interest from corporate debt instruments	2015-06-30	$0
Value of interest in master investment trust accounts at end of year	2015-06-30	$0
Value of interest in master investment trust accounts at beginning of year	2015-06-30	$0
Value of interest in common/collective trusts at end of year	2015-06-30	$1,058,045
Value of interest in common/collective trusts at beginning of year	2015-06-30	$20,589,043
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-06-30	$921,113
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-06-30	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-06-30	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-06-30	$144
Assets. Value of investments in 103.12 investment entities at end of year	2015-06-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-06-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-06-30	$0
Asset value of US Government securities at end of year	2015-06-30	$0
Asset value of US Government securities at beginning of year	2015-06-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-06-30	$-24,863
Net investment gain/loss from pooled separate accounts	2015-06-30	$0
Net investment gain or loss from common/collective trusts	2015-06-30	$11,822
Net gain/loss from 103.12 investment entities	2015-06-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-06-30	No
Was there a failure to transmit to the plan any participant contributions	2015-06-30	No
Has the plan failed to provide any benefit when due under the plan	2015-06-30	No
Assets. Invements in employer securities at end of year	2015-06-30	$0
Assets. Invements in employer securities at beginning of year	2015-06-30	$0
Assets. Value of employer real property at end of year	2015-06-30	$0
Assets. Value of employer real property at beginning of year	2015-06-30	$0
Contributions received in cash from employer	2015-06-30	$805,011
Employer contributions (assets) at end of year	2015-06-30	$403,801
Employer contributions (assets) at beginning of year	2015-06-30	$0
Income. Dividends from preferred stock	2015-06-30	$0
Income. Dividends from common stock	2015-06-30	$8,307
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-06-30	$1,569,381
Asset. Corporate debt instrument preferred debt at end of year	2015-06-30	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-06-30	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-06-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-06-30	$0
Contract administrator fees	2015-06-30	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-06-30	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2015-06-30	$901,434
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-06-30	$0
Liabilities. Value of benefit claims payable at end of year	2015-06-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-06-30	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-06-30	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-06-30	$0
Did the plan have assets held for investment	2015-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-06-30	No
Aggregate proceeds on sale of assets	2015-06-30	$1,362,227
Aggregate carrying amount (costs) on sale of assets	2015-06-30	$1,289,083
Liabilities. Value of acquisition indebtedness at end of year	2015-06-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-06-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2015-06-30	Disclaimer
Accountancy firm name	2015-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2015-06-30	752988353
2014 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-06-30	$0
Total income from all sources (including contributions)	2014-06-30	$4,891,321
Total loss/gain on sale of assets	2014-06-30	$0
Total of all expenses incurred	2014-06-30	$2,149,140
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-06-30	$2,112,855
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-06-30	$1,780,264
Value of total assets at end of year	2014-06-30	$20,740,610
Value of total assets at beginning of year	2014-06-30	$17,998,429
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-06-30	$36,285
Total interest from all sources	2014-06-30	$9,335
Total dividends received (eg from common stock, registered investment company shares)	2014-06-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-06-30	No
Was this plan covered by a fidelity bond	2014-06-30	Yes
Value of fidelity bond cover	2014-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2014-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2014-06-30	No
Contributions received from participants	2014-06-30	$1,420,111
Participant contributions at end of year	2014-06-30	$151,567
Participant contributions at beginning of year	2014-06-30	$312,888
Income. Received or receivable in cash from other sources (including rollovers)	2014-06-30	$26,888
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-06-30	No
Value of net income/loss	2014-06-30	$2,742,181
Value of net assets at end of year (total assets less liabilities)	2014-06-30	$20,740,610
Value of net assets at beginning of year (total assets less liabilities)	2014-06-30	$17,998,429
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-06-30	No
Were any leases to which the plan was party in default or uncollectible	2014-06-30	No
Investment advisory and management fees	2014-06-30	$34,581
Interest on participant loans	2014-06-30	$9,335
Value of interest in common/collective trusts at end of year	2014-06-30	$20,589,043
Value of interest in common/collective trusts at beginning of year	2014-06-30	$17,685,541
Net investment gain or loss from common/collective trusts	2014-06-30	$3,101,722
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-06-30	No
Was there a failure to transmit to the plan any participant contributions	2014-06-30	No
Has the plan failed to provide any benefit when due under the plan	2014-06-30	No
Contributions received in cash from employer	2014-06-30	$333,265
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-06-30	$2,112,855
Contract administrator fees	2014-06-30	$1,704
Did the plan have assets held for investment	2014-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-06-30	Disclaimer
Accountancy firm name	2014-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2014-06-30	752988353
2013 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-06-30	$0
Total income from all sources (including contributions)	2013-06-30	$3,606,176
Total loss/gain on sale of assets	2013-06-30	$0
Total of all expenses incurred	2013-06-30	$1,616,310
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-06-30	$1,602,966
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-06-30	$1,154,643
Value of total assets at end of year	2013-06-30	$17,998,429
Value of total assets at beginning of year	2013-06-30	$16,008,563
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-06-30	$13,344
Total interest from all sources	2013-06-30	$12,566
Total dividends received (eg from common stock, registered investment company shares)	2013-06-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-06-30	No
Was this plan covered by a fidelity bond	2013-06-30	Yes
Value of fidelity bond cover	2013-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2013-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2013-06-30	No
Contributions received from participants	2013-06-30	$1,154,643
Participant contributions at end of year	2013-06-30	$312,888
Participant contributions at beginning of year	2013-06-30	$268,786
Participant contributions at beginning of year	2013-06-30	$37,567
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-06-30	$220
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-06-30	No
Value of net income/loss	2013-06-30	$1,989,866
Value of net assets at end of year (total assets less liabilities)	2013-06-30	$17,998,429
Value of net assets at beginning of year (total assets less liabilities)	2013-06-30	$16,008,563
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-06-30	No
Were any leases to which the plan was party in default or uncollectible	2013-06-30	No
Investment advisory and management fees	2013-06-30	$11,604
Interest on participant loans	2013-06-30	$12,566
Value of interest in common/collective trusts at end of year	2013-06-30	$17,685,541
Value of interest in common/collective trusts at beginning of year	2013-06-30	$15,330,544
Net investment gain or loss from common/collective trusts	2013-06-30	$2,438,967
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-06-30	No
Was there a failure to transmit to the plan any participant contributions	2013-06-30	No
Has the plan failed to provide any benefit when due under the plan	2013-06-30	No
Employer contributions (assets) at beginning of year	2013-06-30	$371,446
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-06-30	$1,602,966
Contract administrator fees	2013-06-30	$1,740
Did the plan have assets held for investment	2013-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-06-30	Disclaimer
Accountancy firm name	2013-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2013-06-30	752988353
2012 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-06-30	$0
Total income from all sources (including contributions)	2012-06-30	$1,431,138
Total loss/gain on sale of assets	2012-06-30	$0
Total of all expenses incurred	2012-06-30	$1,134,520
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-06-30	$1,127,832
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-06-30	$1,603,504
Value of total assets at end of year	2012-06-30	$16,008,563
Value of total assets at beginning of year	2012-06-30	$15,711,945
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-06-30	$6,688
Total interest from all sources	2012-06-30	$11,314
Total dividends received (eg from common stock, registered investment company shares)	2012-06-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-06-30	No
Was this plan covered by a fidelity bond	2012-06-30	Yes
Value of fidelity bond cover	2012-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2012-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2012-06-30	No
Contributions received from participants	2012-06-30	$1,229,086
Participant contributions at end of year	2012-06-30	$268,786
Participant contributions at beginning of year	2012-06-30	$231,606
Participant contributions at end of year	2012-06-30	$37,567
Participant contributions at beginning of year	2012-06-30	$33,495
Income. Received or receivable in cash from other sources (including rollovers)	2012-06-30	$2,972
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-06-30	$220
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-06-30	$213
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Value of net income/loss	2012-06-30	$296,618
Value of net assets at end of year (total assets less liabilities)	2012-06-30	$16,008,563
Value of net assets at beginning of year (total assets less liabilities)	2012-06-30	$15,711,945
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-06-30	No
Were any leases to which the plan was party in default or uncollectible	2012-06-30	No
Investment advisory and management fees	2012-06-30	$5,113
Interest on participant loans	2012-06-30	$11,314
Value of interest in common/collective trusts at end of year	2012-06-30	$15,330,544
Value of interest in common/collective trusts at beginning of year	2012-06-30	$15,010,528
Net investment gain or loss from common/collective trusts	2012-06-30	$-183,680
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-06-30	No
Was there a failure to transmit to the plan any participant contributions	2012-06-30	No
Has the plan failed to provide any benefit when due under the plan	2012-06-30	No
Contributions received in cash from employer	2012-06-30	$371,446
Employer contributions (assets) at end of year	2012-06-30	$371,446
Employer contributions (assets) at beginning of year	2012-06-30	$436,103
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-06-30	$1,127,832
Contract administrator fees	2012-06-30	$1,575
Did the plan have assets held for investment	2012-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-06-30	Disclaimer
Accountancy firm name	2012-06-30	DAVID L BUCK, CPA
Accountancy firm EIN	2012-06-30	752988353
2011 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-06-30	$0
Total income from all sources (including contributions)	2011-06-30	$4,658,919
Total loss/gain on sale of assets	2011-06-30	$0
Total of all expenses incurred	2011-06-30	$576,483
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-06-30	$575,061
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-06-30	$1,854,159
Value of total assets at end of year	2011-06-30	$15,711,945
Value of total assets at beginning of year	2011-06-30	$11,629,509
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-06-30	$1,422
Total interest from all sources	2011-06-30	$9,159
Total dividends received (eg from common stock, registered investment company shares)	2011-06-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-06-30	No
Was this plan covered by a fidelity bond	2011-06-30	Yes
Value of fidelity bond cover	2011-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2011-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-06-30	No
Contributions received from participants	2011-06-30	$1,349,637
Participant contributions at end of year	2011-06-30	$231,606
Participant contributions at beginning of year	2011-06-30	$135,229
Participant contributions at end of year	2011-06-30	$33,495
Participant contributions at beginning of year	2011-06-30	$30,378
Income. Received or receivable in cash from other sources (including rollovers)	2011-06-30	$68,419
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-06-30	$213
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Value of net income/loss	2011-06-30	$4,082,436
Value of net assets at end of year (total assets less liabilities)	2011-06-30	$15,711,945
Value of net assets at beginning of year (total assets less liabilities)	2011-06-30	$11,629,509
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-06-30	No
Were any leases to which the plan was party in default or uncollectible	2011-06-30	No
Interest on participant loans	2011-06-30	$9,159
Value of interest in common/collective trusts at end of year	2011-06-30	$15,010,528
Value of interest in common/collective trusts at beginning of year	2011-06-30	$11,058,987
Net investment gain or loss from common/collective trusts	2011-06-30	$2,795,601
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-06-30	No
Was there a failure to transmit to the plan any participant contributions	2011-06-30	No
Has the plan failed to provide any benefit when due under the plan	2011-06-30	No
Contributions received in cash from employer	2011-06-30	$436,103
Employer contributions (assets) at end of year	2011-06-30	$436,103
Employer contributions (assets) at beginning of year	2011-06-30	$404,915
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-06-30	$575,061
Contract administrator fees	2011-06-30	$1,422
Did the plan have assets held for investment	2011-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-06-30	Disclaimer
Accountancy firm name	2011-06-30	DAVID L. BUCK, CPA
Accountancy firm EIN	2011-06-30	752988353
2010 : ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-06-30	$0

Form 5500 Responses for ROTH CAPITAL PARTNERS, LLC 401(K) PLAN

2022: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2022 form 5500 responses
2022-07-01	Type of plan entity	Single employer plan
2022-07-01	This submission is the final filing	No
2022-07-01	Plan is a collectively bargained plan	No
2022-07-01	Plan funding arrangement – Trust	Yes
2022-07-01	Plan benefit arrangement - Trust	Yes
2021: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2021 form 5500 responses
2021-07-01	Type of plan entity	Single employer plan
2021-07-01	This submission is the final filing	No
2021-07-01	Plan is a collectively bargained plan	No
2021-07-01	Plan funding arrangement – Trust	Yes
2021-07-01	Plan benefit arrangement - Trust	Yes
2020: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2020 form 5500 responses
2020-07-01	Type of plan entity	Single employer plan
2020-07-01	This submission is the final filing	No
2020-07-01	Plan is a collectively bargained plan	No
2020-07-01	Plan funding arrangement – Trust	Yes
2020-07-01	Plan benefit arrangement - Trust	Yes
2019: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2019 form 5500 responses
2019-07-01	Type of plan entity	Single employer plan
2019-07-01	This submission is the final filing	No
2019-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-07-01	Plan funding arrangement – Trust	Yes
2019-07-01	Plan benefit arrangement - Trust	Yes
2017: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2017 form 5500 responses
2017-07-01	Type of plan entity	Single employer plan
2017-07-01	Submission has been amended	No
2017-07-01	This submission is the final filing	No
2017-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-07-01	Plan is a collectively bargained plan	No
2017-07-01	Plan funding arrangement – Trust	Yes
2017-07-01	Plan benefit arrangement - Trust	Yes
2016: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2016 form 5500 responses
2016-07-01	Type of plan entity	Single employer plan
2016-07-01	Submission has been amended	No
2016-07-01	This submission is the final filing	No
2016-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-07-01	Plan is a collectively bargained plan	No
2016-07-01	Plan funding arrangement – Trust	Yes
2016-07-01	Plan benefit arrangement - Trust	Yes
2015: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2015 form 5500 responses
2015-07-01	Type of plan entity	Single employer plan
2015-07-01	Submission has been amended	No
2015-07-01	This submission is the final filing	No
2015-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-07-01	Plan is a collectively bargained plan	No
2015-07-01	Plan funding arrangement – Trust	Yes
2015-07-01	Plan benefit arrangement - Trust	Yes
2014: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2014 form 5500 responses
2014-07-01	Type of plan entity	Single employer plan
2014-07-01	Submission has been amended	No
2014-07-01	This submission is the final filing	No
2014-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-07-01	Plan is a collectively bargained plan	No
2014-07-01	Plan funding arrangement – Trust	Yes
2014-07-01	Plan benefit arrangement - Trust	Yes
2013: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2013 form 5500 responses
2013-07-01	Type of plan entity	Single employer plan
2013-07-01	Submission has been amended	No
2013-07-01	This submission is the final filing	No
2013-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-07-01	Plan is a collectively bargained plan	No
2013-07-01	Plan funding arrangement – Trust	Yes
2013-07-01	Plan benefit arrangement - Trust	Yes
2012: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Submission has been amended	No
2012-07-01	This submission is the final filing	No
2012-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-07-01	Plan is a collectively bargained plan	No
2012-07-01	Plan funding arrangement – Trust	Yes
2012-07-01	Plan benefit arrangement - Trust	Yes
2011: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Submission has been amended	No
2011-07-01	This submission is the final filing	No
2011-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-07-01	Plan is a collectively bargained plan	No
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2009: ROTH CAPITAL PARTNERS, LLC 401(K) PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	No
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	No
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ROTH CAPITAL PARTNER'S LLC
Employer identification number (EIN):	330947643
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing