SEC Form 4 · accession 0001104659-18-038976
Infrastructure & Energy Alternatives, Inc. · IEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
OAKTREE FUND GP I, L.P.
10% Owner
Oaktree Capital Group, LLC
10% Owner
Oaktree Capital I, L.P.
10% Owner
OCM HOLDINGS I, LLC
10% Owner
OAKTREE HOLDINGS, LLC
10% Owner
Oaktree Fund GP, LLC
10% Owner
Period of report
Jun 5, 2018
Accepted (ET)
Jun 7, 2018 · 6:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001652362
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001F1,F2,F3,F4,F5 | Jun 5, 2018 | J | 115,000 | $0.00 | D | 10,327,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pro rata distribution of shares for no consideration to members of the Reporting Person.
- F2The controlling equityholder of Seller is Oaktree Power Opportunities Fund III Delaware, L.P. The general partner of Oaktree Power Opportunities Fund III Delaware, L.P. 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 Oaktree Capital Group, LLC. The duly appointed manager of Oaktree Capital Group, LLC is Oaktree Capital Group Holdings GP, LLC (collectively, the "Reporting Persons"). (cont'd in FN 5)
- F3(cont'd in FN 4) Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
- F4Oaktree Capital Group Holdings GP, LLC is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank and Jay S. Wintrob (the "OCGH GP Members"). 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.
- F5The reporting persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.