Sec Form 4 Filing - Hummer Brian @ Infrastructure & Energy Alternatives, Inc. - 2018-09-14

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
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1. Name and Address of Reporting Person
Hummer Brian
2. Issuer Name and Ticker or Trading Symbol
Infrastructure & Energy Alternatives, Inc. [ IEA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Senior Vice President
(Last) (First) (Middle)
2647 WATERFRONT PARKWAY E. DR. SUITE 100
3. Date of Earliest Transaction (MM/DD/YY)
09/14/2018
(Street)
INDIANAPOLIS, IN46214
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.001 per share 09/14/2018 A 30,521 A $ 0 30,521 ( 1 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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
Option to purchase Common Stock, par value $0.001 $ 10.37 09/14/2018 A 58,199 ( 2 ) 09/14/2028 Common Stock, par value $0.001 per share 58,199 $ 0 58,199 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Hummer Brian
2647 WATERFRONT PARKWAY E. DR. SUITE 100
INDIANAPOLIS, IN46214
Senior Vice President
Signatures
/s/ Brian Hummer 09/18/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents shares of restricted stock of which half of the shares will vest in four equal annual installments beginning on the first anniversary of March 26, 2018, subject to the reporting person's continued employment. Twenty-five percent will vest on the later of (i) March 26, 2019 and (ii) the first day upon which closing sale price of the issuer's Common Stock has equaled or exceeded $12.00 per share for any twenty trading days in a consecutive 30 day trading period. Twenty-five percent will vest on the later of (i) March 26, 2019 and (ii) the first day upon which closing sale price of the issuer's Common Stock has equaled or exceeded $14.00 per share for any twenty trading days in a consecutive 30 day trading period.
( 2 )Represents stock options of which half of the shares will vest in four equal annual installments beginning on the first anniversary of March 26, 2018, subject to the reporting person's continued employment. Twenty-five percent will vest on the later of (i) March 26, 2019 and (ii) the first day upon which closing sale price of the issuer's Common Stock has equaled or exceeded $12.00 per share for any twenty trading days in a consecutive 30 day trading period. Twenty-five percent will vest on the later of (i) March 26, 2019 and (ii) the first day upon which closing sale price of the issuer's Common Stock has equaled or exceeded $14.00 per share for any twenty trading days in a consecutive 30 day trading period.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).

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