Sec Form 3 Filing - OAKTREE CAPITAL MANAGEMENT LP @ Infrastructure & Energy Alternatives, Inc. - 2018-12-31

Insider filing report for Changes in Beneficial Ownership
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FORM 3
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
OAKTREE CAPITAL MANAGEMENT LP
2. Issuer Name and Ticker or Trading Symbol
Infrastructure & Energy Alternatives, Inc. [ IEA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
12/31/2018
(Street)
LOS ANGELES, CA90071
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ 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 $0.0001 per share 18,926 ( 1 ) I See footnotes ( 2 ) ( 3 ) ( 4 ) ( 5 ) ( 6 ) ( 7 ) ( 8 )
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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
OAKTREE CAPITAL MANAGEMENT LP
333 SOUTH GRAND AVENUE, 28TH FLOOR
LOS ANGELES, CA90071
X X
OCM FIE, LLC
333 SOUTH GRAND AVENUE, 28TH FLOOR
LOS ANGELES, CA90071
X X
Oaktree Holdings, Inc.
333 SOUTH GRAND AVENUE, 28TH FLOOR
LOS ANGELES, CA90071
X X
Signatures
See Signatures Included in 99.1 01/04/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents restricted stock units, which vest on March 31, 2019, granted to Ian Schapiro and Peter Jonna, Managing Director and Senior Vice President, respectively, of Oaktree Capital Management, L.P. ("OCM LP") and directors of Infrastructure and Energy Alternatives, Inc. ("IEA").
( 2 )Pursuant to the policies of OCM LP, Messrs. Schapiro and Jonna hold these securities for the benefit of OCM FIE, LLC ("FIE"). This Form 3 with respect to these securities is being filed by (i) FIE; (ii) Oaktree Capital Management, L.P. ("OCM LP"), in its capacity as the managing member of FIE, and (iii) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP.
( 3 )A Form 4 is concurrently being filed by (i) Oaktree Capital Group, LLC ("OCG") and (ii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the manager of OCG. OCG is the sole shareholder of Holdings. Concurrently with the filing of this Form 3, Messrs. Schapiro and Jonna are filing Forms 4 with respect to the securities reported herein.
( 4 )The reporting persons disclaim beneficial ownership of these securities, and the filing of this Form 3 shall not be construed as an admission that such persons are beneficial owners of such securities covered by this Form 3, except to the extent of any indirect pecuniary interest therein.
( 5 )Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.
( 6 )OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank and Jay S. Wintrob (each, an "OCGH GP Member"). Each OCGH GP Member expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 3 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 3.
( 7 )The reporting persons are jointly filing this Form 3 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.
( 8 )As a result of Messrs. Schapiro's and Jonna's positions as Managing Director and Senior Vice President, respectively, of OCM LP and directors of IEA, the Reporting Persons may be deemed directors by deputization.

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