SEC Form 4 · accession 0001144204-16-112050

Infrastructure & Energy Alternatives, Inc. · IEA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

Explanation of responses

• F1These shares represent common stock held by M III Sponsor I LLC and M III Sponsor I LP (collectively, the "Sponsors"), acquired pursuant to a subscription agreement by and between M III Sponsor I LLC and the registrant and a transfer agreement by and between the Sponsors. Mohsin Y. Meghji, the Chairman and Chief Executive Officer of the registrant, is the sole managing member of M III Acquisition Partners I LLC, the sole managing member of M III Sponsor I LLC. Mr. Meghji is also the Chief Executive Officer of M III Acquisition Partners I Corp., the sole general partner of M III Sponsor I LP. Mr. Meghji has sole voting and dispositive control over the shares held by the Sponsors and may be deemed the beneficial owner of such shares.
• F2On July 7, 2016, the Sponsors and the registrant entered into a cancellation agreement wherein the Sponsors forfeited an aggregate of 718,750 for no consideration in connection with the final pricing of the registrant's initial public offering (the "IPO"). These shares include an aggregate of 562,500 shares that are subject to forfeiture by the Sponsors to the extent that the underwriters do not exercise their overallotment option in connection with the registrant's IPO in full.
• F3Mr. Meghji disclaims beneficial ownership over any securities owned by the Sponsors in which he does not have any pecuniary interest.

Remarks

Chairman and Chief Executive Officer