Ares Management Corp's Form 4 filing
Infrastructure & Energy Alternatives, Inc. (IEA) · filed Aug 2, 2021
- Accession no.
- 0001104659-21-099088
- Filed
- Aug 2, 2021, 9:56 PM ET
- Trade date
- Jul 29, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 5 derivative transactions. Open-market purchases total $35.0M. It was filed 4 days after the trade.
This filing was later replaced by the amendment 0001104659-21-100432 (Aug 5, 2021). Trade tables on this site use the amended version.
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 |
|---|---|
| Ares Management CorpCIK 0001176948 | Director, 10% Owner |
| Ares Partners Holdco LLCCIK 0001620263 | 10% Owner |
| Ares Management GP LLCCIK 0001620264 | 10% Owner |
| Ares Voting LLCCIK 0001761656 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | PPurchaseAcquired | +3,185,039 | $11.00 | +$35,035,429 | 3,185,039 | Indirect | |
| Jul 29, 2021 | Series A Preferred Stock, par value $0.0001 per share | CConversionDisposed | −14,833.5 | $11.00 | −$163,168.5 | 0 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | CConversionAcquired | +1,809,080 | $11.00 | +$19,899,880 | 4,994,119 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | CConversionAcquired | +236,759 | $11.00 | +$2,604,349 | 5,320,878 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | CConversionAcquired | +2,903,516 | $11.00 | +$31,938,676 | 8,134,394 | Indirect | |
| Jul 29, 2021 | Series A Preferred Stock, par value $0.0001 per share | CConversionDisposed | −2,649 | $11.00 | −$29,139 | 0 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | CConversionAcquired | +323,193 | $11.00 | +$3,555,123 | 323,193 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | CConversionAcquired | +270,658 | $11.00 | +$2,977,238 | 593,851 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | CConversionAcquired | +3,092,794 | $11.00 | +$34,020,734 | 3,686,645 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 29, 2021 | Common Stock, $0.0001 par value per share | PPurchaseAcquired | +7,747,589 | $11.00 | +$85,223,479 | 7,747,589 | Indirect | |
| Jul 29, 2021 | Common stock, par value $0.0001 per share | CConversionDisposed | −2,903,516 | $11.00 | −$31,938,676 | 0 | Indirect | |
| Jul 29, 2021 | Common stock, par value $0.0001 per share | CConversionDisposed | −236,759 | $11.00 | −$2,604,349 | 26,212 | Indirect | |
| Jul 29, 2021 | Common stock, par value $0.0001 per share | CConversionDisposed | −3,092,794 | $11.00 | −$34,020,734 | 0 | Indirect | |
| Jul 29, 2021 | Common stock, par value $0.0001 per share | CConversionDisposed | −270,658 | $11.00 | −$2,977,238 | 29,965 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
This Form 4 is being filed in two parts due to the number of Reporting Persons. Both filings relate to the same transactions described above. (2 of 2)