TPI Composites, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-08-31: Reporting owner BAM Partners Trust | Oaktree Phoenix Investment Fund, L.P.; Form 4; Security Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2022-08-31: Reporting owner BAM Partners Trust | Oaktree Phoenix Investment Fund, L.P.; Form 4; Security Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2022-08-31: Reporting owner BAM Partners Trust | Oaktree Phoenix Investment Fund, L.P.; Form 4; Security Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2022-08-31: Reporting owner Oaktree Capital Group, LLC | Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. | OCM HOLDINGS I, LLC | OAKTREE HOLDINGS, LLC | Oaktree Fund GP, LLC | Oaktree Capital I, L.P. | OAKTREE FUND GP I, L.P. | Opps TPIC Holdings, LLC | Oaktree Capital Group Holdings GP, LLC | BROOKFIELD ASSET MANAGEMENT INC.; Form 4; Security Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-08-31 | BAM Partners Trust | Oaktree Phoenix Investment Fund, L.P. 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,835,000 0 owned after | $0.01 exercise price | 2022-09-06 | |
| 2022-08-31 | BAM Partners Trust | Oaktree Phoenix Investment Fund, L.P. 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,750,000 0 owned after | $0.01 exercise price | 2022-09-06 | |
| 2022-08-31 | BAM Partners Trust | Oaktree Phoenix Investment Fund, L.P. 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −81,667 0 owned after | $0.01 exercise price | 2022-09-06 | |
| 2022-08-31 | Oaktree Capital Group, LLC | Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. | OCM HOLDINGS I, LLC | OAKTREE HOLDINGS, LLC | Oaktree Fund GP, LLC | Oaktree Capital I, L.P. | OAKTREE FUND GP I, L.P. | Opps TPIC Holdings, LLC | Oaktree Capital Group Holdings GP, LLC | BROOKFIELD ASSET MANAGEMENT INC. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,835,000 0 owned after | $0.01 exercise price | 2022-09-06 | |
| 2022-08-31 | Oaktree Capital Group, LLC | Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. | OCM HOLDINGS I, LLC | OAKTREE HOLDINGS, LLC | Oaktree Fund GP, LLC | Oaktree Capital I, L.P. | OAKTREE FUND GP I, L.P. | Opps TPIC Holdings, LLC | Oaktree Capital Group Holdings GP, LLC | BROOKFIELD ASSET MANAGEMENT INC. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,750,000 0 owned after | $0.01 exercise price | 2022-09-06 | |
| 2022-08-31 | Oaktree Capital Group, LLC | Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. | OCM HOLDINGS I, LLC | OAKTREE HOLDINGS, LLC | Oaktree Fund GP, LLC | Oaktree Capital I, L.P. | OAKTREE FUND GP I, L.P. | Opps TPIC Holdings, LLC | Oaktree Capital Group Holdings GP, LLC | BROOKFIELD ASSET MANAGEMENT INC. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −81,667 0 owned after | $0.01 exercise price | 2022-09-06 | |
| 2021-12-02 holding as of filing | Oaktree Phoenix Investment Fund, L.P. | BAM Partners Trust 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2021-12-02 | ||
| 2021-12-02 holding as of filing | Oaktree Phoenix Investment Fund, L.P. | BAM Partners Trust 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2021-12-02 | ||
| 2021-12-02 holding as of filing | Oaktree Phoenix Investment Fund, L.P. | BAM Partners Trust 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2021-12-02 | ||
| 2021-12-02 holding as of filing | OAKTREE HOLDINGS, LLC | Opps TPIC Holdings, LLC | OCM HOLDINGS I, LLC | Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. | Oaktree Fund GP, LLC | Oaktree Capital Group, LLC | BROOKFIELD ASSET MANAGEMENT INC. | Oaktree Capital I, L.P. | Oaktree Capital Group Holdings GP, LLC | OAKTREE FUND GP I, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2021-12-02 | ||
| 2021-12-02 holding as of filing | OAKTREE HOLDINGS, LLC | Opps TPIC Holdings, LLC | OCM HOLDINGS I, LLC | Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. | Oaktree Fund GP, LLC | Oaktree Capital Group, LLC | BROOKFIELD ASSET MANAGEMENT INC. | Oaktree Capital I, L.P. | Oaktree Capital Group Holdings GP, LLC | OAKTREE FUND GP I, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2021-12-02 | ||
| 2021-12-02 holding as of filing | OAKTREE HOLDINGS, LLC | Opps TPIC Holdings, LLC | OCM HOLDINGS I, LLC | Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. | Oaktree Fund GP, LLC | Oaktree Capital Group, LLC | BROOKFIELD ASSET MANAGEMENT INC. | Oaktree Capital I, L.P. | Oaktree Capital Group Holdings GP, LLC | OAKTREE FUND GP I, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2021-12-02 | ||
| 2018-07-20 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Common Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −72,191 0 owned after | $9.35 exercise price | 2018-07-24 | |
| 2018-07-20 | Weiss Daniel G Director | 4 | Common Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −16,042 0 owned after | $9.35 exercise price | 2018-07-24 | |
| 2018-07-20 | Element Partners II G.P., L.P. | ELEMENT PARTNERS II LP | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +72,191 0 owned after | $9.35 exercise price | 2018-07-24 | |
| 2018-05-11 | GIOVACCHINI PAUL G Director, 10% Owner | 4 | Common Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −72,191 0 owned after | $9.35 exercise price | 2018-05-15 | |
| 2018-05-11 | LANDMARK GROWTH CAPITAL PARTNERS LP | LANDMARK EQUITY ADVISORS LLC /ADV | Landmark Growth Capital Partners, LLC | LANDMARK IAM GROWTH CAPITAL LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −72,191 0 owned after | $9.35 exercise price | 2018-05-15 | |
| 2016-07-21 | GE Ventures Ltd | GENERAL ELECTRIC CO 10% Owner | 10% Owner | 4 | Series B Warrants Derivative · Indirect · Note | X Exercise of in-the-money or at-the-money derivative security | −2 0 owned after | $8,748.81 exercise price | 2016-07-25 | |
| 2016-07-21 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Series B Warrants Derivative · Indirect · See Note | X Exercise of in-the-money or at-the-money derivative security | −70 0 owned after | $8,748.81 exercise price | 2016-07-25 | |
| 2016-07-21 | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −70 0 owned after | $8,748.81 exercise price | 2016-07-25 | |
| 2016-07-21 | ANGELENO INVESTORS II L P 10% Owner | 4 | Series B Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −17 0 owned after | $8,748.81 exercise price | 2016-07-25 | |
| 2016-07-21 | Weiss Daniel G Director, 10% Owner | 4 | Series B Warrants Derivative · Indirect · See Note | X Exercise of in-the-money or at-the-money derivative security | −17 0 owned after | $8,748.81 exercise price | 2016-07-25 | |
| 2016-07-21 holding as of filing | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Warrants Derivative · Direct | Holding | $8,748.81 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Warrants Derivative · Direct | Holding | $9.35 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GIOVACCHINI PAUL G Director, 10% Owner | 3 | Common Warrant Derivative · Indirect · (m) | Holding | $9.35 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | LANDMARK EQUITY ADVISORS LLC /ADV | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Warrant Derivative · Indirect · See Notes | Holding | $9.35 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GENERAL ELECTRIC CO | GE Ventures Ltd 10% Owner | 10% Owner | 3 | Series B Warrants Derivative · Indirect · Note | Holding | $8,748.81 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DeRosa Michael Lawrence Director, 10% Owner | 3 | Series B Warrants Derivative · Indirect · (m) | Holding | $8,748.81 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DeRosa Michael Lawrence Director, 10% Owner | 3 | Common Warrants Derivative · Indirect · (m) | Holding | $9.35 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Series B Warrants Derivative · Indirect · (m) | Holding | $8,748.81 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Common Warrants Derivative · Indirect · (m) | Holding | $9.35 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Series B Warrants Derivative · Direct | Holding | $8,748.81 exercise price | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Common Warrants Derivative · Direct | Holding | $9.35 exercise price | 2016-07-21 |