4//SEC Filing
OCM FIE, LLC 4
Accession 0001652362-19-000060
CIK 0001652362other
Filed
Mar 27, 8:00 PM ET
Accepted
Mar 28, 8:59 PM ET
Size
16.5 KB
Accession
0001652362-19-000060
Insider Transaction Report
Form 4
Oaktree Capital Group, LLC
10% Owner
Transactions
- Award
Common Stock, par value $0.0001 per share
2019-03-26+27,978→ 46,904 total(indirect: See footnotes)
Holdings
- 10,428,500(indirect: By Infrastructure and Energy Alt., Inc.)
Common Stock, par value $0.0001 per share
OCM FIE, L.P.
Director10% Owner
Transactions
- Award
Common Stock, par value $0.0001 per share
2019-03-26+27,978→ 46,904 total(indirect: See footnotes)
Holdings
- 10,428,500(indirect: By Infrastructure and Energy Alt., Inc.)
Common Stock, par value $0.0001 per share
Transactions
- Award
Common Stock, par value $0.0001 per share
2019-03-26+27,978→ 46,904 total(indirect: See footnotes)
Holdings
- 10,428,500(indirect: By Infrastructure and Energy Alt., Inc.)
Common Stock, par value $0.0001 per share
OAKTREE CAPITAL MANAGEMENT LP
Director10% Owner
Transactions
- Award
Common Stock, par value $0.0001 per share
2019-03-26+27,978→ 46,904 total(indirect: See footnotes)
Holdings
- 10,428,500(indirect: By Infrastructure and Energy Alt., Inc.)
Common Stock, par value $0.0001 per share
Oaktree Holdings, Inc.
Director10% Owner
Transactions
- Award
Common Stock, par value $0.0001 per share
2019-03-26+27,978→ 46,904 total(indirect: See footnotes)
Holdings
- 10,428,500(indirect: By Infrastructure and Energy Alt., Inc.)
Common Stock, par value $0.0001 per share
Footnotes (7)
- [F1]Represents restricted stock units, which vest on March 26, 2020, granted to Ian Schapiro and Peter Jonna, Managing Director and Senior Vice President, respectively, of Oaktree Capital Management, L.P. ("OCM LP") and directors of Infrastructure and Energy Alternatives, Inc. ("IEA").
- [F2]Pursuant to the policies of the OCM LP, Messrs. Schapiro and Jonna hold these securities for the benefit of OCM FIE, LLC ("FIE"). This Form 4 with respect to these securities is being filed by Oaktree Capital Group, LLC ("OCG") and (ii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the manager of OCG (iii) FIE, (iv) OCM LP, in its capacity as the managing member of FIE, and (v) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP. OCG is the sole shareholder of Holdings.
- [F3]Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Concurrently with the filing of this Form 4, Messrs. Schapiro and Jonna are filing Forms 4 with respect to the securities reported herein.
- [F4]OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank and Jay S. Wintrob (each, an "OCGH GP Member"). Each OCGH GP Member expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4
- [F5]The reporting persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.
- [F6]As a result of Messrs. Shapiro's and Jonna's positions as Managing Director and Senior Vice President, respectively, of OCM LP and directors of IEA, the Reporting Persons may be deemed directors by deputization.
- [F7]Represents shares held of record by Infrastructure & Energy Alternatives, LLC ("IEA LLC"). Oaktree Power Opportunities Fund III Delaware, L.P. ("Fund III") is the controlling equity holder of IEA LLC. The general partner of Fund III is Oaktree Fund GP, LLC. The managing member of Oaktree Fund GP, LLC is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The managing member of Oaktree Holdings, LLC is OCG. The duly appointed manager of Oaktree Capital Group, LLC is OCGH GP.
Issuer
Infrastructure & Energy Alternatives, Inc.
CIK 0001652362
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001498954
Filing Metadata
- Form type
- 4
- Filed
- Mar 27, 8:00 PM ET
- Accepted
- Mar 28, 8:59 PM ET
- Size
- 16.5 KB