SEC Form 4 · accession 0001144204-18-062616

Infrastructure & Energy Alternatives, Inc. · IEA

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

Reporting owner

Mohsin Y Meghji

Director

Period of report

Nov 28, 2018

Accepted (ET)

Nov 30, 2018 · 4:30 pm EST

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^F1	Nov 28, 2018	P	8,000	$8.50	D	8,000	D
Common Stock^F2	Nov 29, 2018	P	8,545	$8.71	D	16,545	D
Common Stock^F3	holding	—	—		—	1,400,492	I	By M III Sponsor I LLC

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants to purchase 1/2 shares of Common Stock^F4	$5.75	Nov 28, 2018	P	13,601	A	Apr 26, 2018	Mar 26, 2023	Common Stock	6,800	1,367,404	D
Warrants to purchase 1/2 shares of Common Stock^F5	$5.75	Nov 29, 2018	P	3,750	A	Apr 26, 2018	Mar 26, 2023	Common Stock	1,875	1,371,154	D
Warrants to purchase 1/2 shares of Common Stock^F3	$5.75	holding	—	—	—	Apr 26, 2018	Mar 26, 2023	Common Stock	95,000	190,000	I

Explanation of responses

F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.45 to $8.59, inclusive. The reporting person undertakes to provide to Infrastructure and Energy Alternatives, Inc. (the "Company"), any security holder of the Company, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares or warrants, as applicable, sold at each separate price within the ranges set forth in footnotes (1), (2), (4) and (5) to this Form 4.
F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.69 to $8.72, inclusive
F3Mohsin Y. Meghji is the sole managing member of M III Acquisition Partners I LLC, which is the sole managing member of M III Sponsor I LLC. Mr. Meghji has sole voting and dispositive control over securities held by M III Sponsor I LLC and therefore may be deemed to share beneficial ownership of the securities held by M III Sponsor I LLC. Mr. Meghji disclaims beneficial ownership over any securities reported herein in which he does not have any pecuniary interest.
F4The price reported in Column 4 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.7750 to $0.8500, inclusive.
F5The price reported in Column 4 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.7800 to $0.9200, inclusive.