4//SEC Filing
Roehm John Paul 4
Accession 0001652362-21-000032
CIK 0001652362other
Filed
Mar 24, 8:00 PM ET
Accepted
Mar 25, 8:27 PM ET
Size
9.9 KB
Accession
0001652362-21-000032
Insider Transaction Report
Form 4
Roehm John Paul
DirectorPresident & CEO
Transactions
- Award
Common Stock, par value $0.0001 per share
2021-03-08+283,771→ 794,457 total - Other
Common Stock, par value $0.0001 per share
2021-03-23+599,445→ 599,445 total(indirect: By Trust) - Other
Warrants
2021-03-23+35,976→ 35,976 total(indirect: By Trust)Exercise: $0.00→ Common Stock, par value $0.0001 per share (35,976 underlying)
Footnotes (5)
- [F1]Represents performance stock units awarded on 3/26/2020, that recently satisfied performance requirements and vest in three equal annual installments beginning on 3/26/2021.
- [F2]Represents 130,810 shares of Common Stock, 273,019 restricted stock units and 390,628 performance stock units that are subject to forfeiture and vesting.
- [F3]On March 23, 2021, Infrastructure and Energy Alternatives, LLC ("IEA LLC") completed a distribution to its members, including the reporting person, for no consideration and pro rata in accordance with such member's ownership interest in IEA LLC and the governing documents of IEA LLC, of a combination cash, Issuer common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase Issuer Common Stock (the "Warrants"). These securities remain subject to a lock-up agreement entered into between the reporting person and the representative of the underwriters for the public offering of the Issuer's Common Stock by IEA LLC, which was completed in February 2021.
- [F4]Held by Roehm Living Trust
- [F5]Warrants are currently exercisable and have no expiration date.
Documents
Issuer
Infrastructure & Energy Alternatives, Inc.
CIK 0001652362
Entity typeother
Related Parties
1- filerCIK 0001732895
Filing Metadata
- Form type
- 4
- Filed
- Mar 24, 8:00 PM ET
- Accepted
- Mar 25, 8:27 PM ET
- Size
- 9.9 KB