SEC Form 4 · accession 0001144204-16-112810
Infrastructure & Energy Alternatives, Inc. · IEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mohsin Y Meghji
Officer — See Remarks · Director · 10% Owner
M III Sponsor I LLC
Other
M III Sponsor I LP
Other
Period of report
Jul 12, 2016
Accepted (ET)
Jul 13, 2016 · 4:01 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 StockF1,F2,F4,F3 | Jul 12, 2016 | P | 340,000 | $10.00 | A | 4,612,500 | I | see footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are underlying units (each unit consisting of one share of common stock and one warrant to purchase one-half of one share of common stock) held by M III Sponsor I LLC (the "LLC Sponsor") and M III Sponsor I LP (the "LP Sponsor," collectively with the LLC Sponsor, the "Sponsors"), acquired pursuant to a second amended and restated unit subscription agreement by and the Sponsors and the registrant. 300,000 of such shares underlying units were purchased by the LLC Sponsor, and 40,000 of such shares underlying units were purchased by the LP Sponsor.
- F2Mohsin 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 the LLC Sponsor. Mr. Meghji is also the Chief Executive Officer of M III Acquisition Partners I Corp., the sole general partner of the LP Sponsor. 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.
- F3Mr. Meghji disclaims beneficial ownership over any securities owned by the Sponsors in which he does not have any pecuniary interest.
- F4These 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 initial public offering in full.
Remarks
Chairman and Chief Executive Officer