Roehm John Paul's Form 4 filing
Infrastructure & Energy Alternatives, Inc. (IEA) · filed Dec 2, 2021
- Accession no.
- 0001652362-21-000228
- Filed
- Dec 2, 2021
- Trade date
- Dec 1-2, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $19.5K. It was filed 1 day after the trade.
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 |
|---|---|
| Roehm John PaulCIK 0001732895 | Director, Officer (President and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2021 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +2,000 | $9.73 | +$19,460 | 720,641 | Direct | |
| Dec 2, 2021 | Common Stock, par value $0.0001 per share | XIn-the-money exerciseAcquired | +35,976 | $0.00 | $0 | 637,987 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 2, 2021 | Common Stock, par value $0.0001 per share | XIn-the-money exerciseDisposed | −35,976 | $0.00 | $0 | 0 | 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.