Sec Form 4 Filing - Prejean Robert Wayne @ ROC Energy Acquisition Corp. - 2023-06-20

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Prejean Robert Wayne 2. Issuer Name and Ticker or Trading Symbol ROC Energy Acquisition Corp. [ DTI] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X __ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) CEO, President (Last) (First) (Middle) 3701 BRIARPARK DRIVE, SUITE 150 3. Date of Earliest Transaction (MM/DD/YY) 06/20/2023 (Street) HOUSTON, TX77042 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 06/20/2023 A 438,529 A 438,529 I By Robjon Holdings, L.P. ( 3 )

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Stock Option (right to buy) $ 3.72 06/20/2023 A 1,201,872 ( 4 ) 04/01/2027 Common Stock 1,201,872 ( 5 ) 1,201,872 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Prejean Robert Wayne 3701 BRIARPARK DRIVE, SUITE 150 HOUSTON, TX77042 X CEO, President Signatures /s/ R. Wayne Prejean 06/22/2023 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Received in connection with the Issuer's business combination (the "Business Combination") with Drilling Tools International Holdings, Inc. ("Legacy DTI") in accordance with the terms of the Agreement and Plan of Merger dated as of February 13, 2023 and amended as of June 5, 2023 (the "Merger Agreement"), by and among the Issuer (f/k/a ROC Energy Acquisition Corp.), ROC Merger Sub, Inc. ("Merger Sub") and Legacy DTI. Pursuant to the terms of the Merger Agreement, each outstanding share of Legacy DTI (i) common stock was converted into the right to receive 0.2282 shares of common stock of the Issuer ("Common Stock") and (ii) preferred stock was converted into the right to receive 0.3299 shares of Common Stock and $0.54 in cash (the "Preferred Cash Consideration"). The Business Combination closed on June 20, 2023 (the "Closing Date"). ( 2 )(Continued from Footnote 1) Pursuant to the terms of an Exchange Agreement by and between ROC Energy Holdings, LLC, a Delaware limited liability company, Merger Sub, Legacy DTI and Robjon Holdings, L.P. ("Robjon"), Robjon elected to exchange the $300,000 of Preferred Cash Consideration it was entitled to received pursuant to the Merger Agreement into 56,703 shares of Common Stock, which are included in the reported amount. ( 3 )The Reporting Person may be deemed to have voting power and dispositive power over the shares held by Robjon. Mr. Prejean is the President, Manager and sole owner of Robjon LLC, Robjon's general partner. Mr. Prejean disclaims any beneficial ownership of any shares of Common Stock held by Robjon, other than his pecuniary interest therein. ( 4 )As of the Closing Date, all shares of Common Stock subject to the stock options held by the Reporting Person are vested. ( 5 )The stock options were received in exchange for stock options to purchase 5,266,000 shares of common stock of Legacy DTI for $0.85 per share in connection with the Business Combination.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

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