|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Infrastructure & Energy Alternatives, LLC 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
OAKTREE POWER OPPORTUNITIES FUND III DELAWARE, L.P. 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
Oaktree Fund GP, LLC 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
OAKTREE FUND GP I, L.P. 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
Oaktree Capital I, L.P. 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
OCM HOLDINGS I, LLC 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
OAKTREE HOLDINGS, LLC 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
Oaktree Capital Group, LLC 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X | |||
Oaktree Capital Group Holdings GP, LLC 11611 SAN VICENTE BOULEVARD, SUITE 170 INDIANAPOLIS, IN 46240 |
X |
See Signatures included in Exhibit 99.1 | 06/07/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Pro rata distribution of shares for no consideration to members of the Reporting Person. |
(2) | The 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) |
(3) | (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. |
(4) | Oaktree 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. |
(5) | The reporting persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. |