BROOKFIELD Corp's Form 4 filing
Tpi Composites, Inc (TPICQ) · filed Sep 6, 2022
- Accession no.
- 0000950142-22-002666
- Filed
- Sep 6, 2022, 6:43 PM ET
- Trade date
- Aug 31, 2022
- Filing delay
- 6 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $46.7K. It was filed 6 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| BROOKFIELD CorpCIK 0001001085 | 10% Owner |
| Oaktree Fund GP I, L.P.CIK 0001402746 | 10% Owner |
| Oaktree Capital Group Holdings GP, LLCCIK 0001403525 | 10% Owner |
| Brookfield Oaktree Holdings, LLCCIK 0001403528 | 10% Owner |
| Oaktree Capital I, L.P.CIK 0001403530 | 10% Owner |
| Brookfield OCM Holdings II, LLCCIK 0001407178 | 10% Owner |
| Brookfield OCM Holdings, LLCCIK 0001407181 | 10% Owner |
| Oaktree Fund GP, LLCCIK 0001499005 | 10% Owner |
| Opps TPIC Holdings, LLCCIK 0001894383 | 10% Owner |
| Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P.CIK 0001894389 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2022 | Common Stock | XIn-the-money exerciseAcquired | +2,835,000 | $0.01 | +$28,350 | 2,835,000 | Indirect | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −1,526 | $18.59 | −$28,368.34 | 2,833,474 | Indirect | |
| Aug 31, 2022 | Common Stock | XIn-the-money exerciseAcquired | +1,750,000 | $0.01 | +$17,500 | 1,750,000 | Indirect | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −942 | $18.59 | −$17,511.78 | 1,749,058 | Indirect | |
| Aug 31, 2022 | Common Stock | XIn-the-money exerciseAcquired | +81,667 | $0.01 | +$816.67 | 81,667 | Indirect | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −44 | $18.59 | −$817.96 | 81,623 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2022 | Common Stock | XIn-the-money exerciseDisposed | −2,835,000 | $0.00 | $0 | 0 | Direct | |
| Aug 31, 2022 | Common Stock | XIn-the-money exerciseDisposed | −1,750,000 | $0.00 | $0 | 0 | Direct | |
| Aug 31, 2022 | Common Stock | XIn-the-money exerciseDisposed | −81,667 | $0.00 | $0 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.