SEC Form 3 · accession 0001652362-19-000015
Infrastructure & Energy Alternatives, Inc. · IEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
OAKTREE CAPITAL MANAGEMENT LP
Director · 10% Owner
Oaktree Holdings, Inc.
Director · 10% Owner
OCM FIE, LLC
Director · 10% Owner
Period of report
Dec 31, 2018
Accepted (ET)
Jan 4, 2019 · 1:42 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, par value $0.0001 per shareF1,F2,F3,F4,F5,F6,F7,F8 | holding | — | — | — | 18,926 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted stock units, which vest on March 31, 2019, 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").
- F2Pursuant to the policies of OCM LP, Messrs. Schapiro and Jonna hold these securities for the benefit of OCM FIE, LLC ("FIE"). This Form 3 with respect to these securities is being filed by (i) FIE; (ii) Oaktree Capital Management, L.P. ("OCM LP"), in its capacity as the managing member of FIE, and (iii) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP.
- F3A Form 4 is concurrently being filed by (i) Oaktree Capital Group, LLC ("OCG") and (ii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the manager of OCG. OCG is the sole shareholder of Holdings. Concurrently with the filing of this Form 3, Messrs. Schapiro and Jonna are filing Forms 4 with respect to the securities reported herein.
- F4The reporting persons disclaim beneficial ownership of these securities, and the filing of this Form 3 shall not be construed as an admission that such persons are beneficial owners of such securities covered by this Form 3, except to the extent of any indirect pecuniary interest therein.
- F5Information 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.
- F6OCGH 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 3 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 3.
- F7The reporting persons are jointly filing this Form 3 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.
- F8As a result of Messrs. Schapiro'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.