organization · Reporting owner

ASSF Operating Manager IV, L.P.

Disclosed activity across 6 companies

Tapewire entity: 22928
SEC CIK: 0001683967

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
California Resources CorpCRC · Entity 3937	10% owner	June 23, 2021	June 25, 2021
HORNBECK OFFSHORE SERVICES, INC.HOS · Entity 705	10% owner	September 01, 2026	September 09, 2026
Savers Value Village, Inc.SVV · Entity 4665	10% owner	August 13, 2026	August 17, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

California Resources Corp

Report date June 23, 2021 · Filed June 25, 2021

Jointly reported with ARES MANAGEMENT LLC, ACOF Investment Management LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Management GP LLC, Ares Voting LLC, Ares Partners Holdco LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectSee Footnotes	14,167,725	Last balance in matching sequence After 2021-06-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2021-06-23 · Sale · Disposed 100,000 · Balance 14,271,592 F1: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 14,167,725 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 674,003 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,466,515 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,512,640 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, and (vi) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. After the sales reported above, the SSF AIVs no longer hold any shares of Common Stock. F7: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Row 2 · 2021-06-23 · Sale · Disposed 103,867 · Balance 14,167,725 F1: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 14,167,725 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 674,003 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,466,515 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,512,640 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, and (vi) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. After the sales reported above, the SSF AIVs no longer hold any shares of Common Stock. F7: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2)

F2: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.

F3: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer.

F4: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5)

F5: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members.

F6: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 14,167,725 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 674,003 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,466,515 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,512,640 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, and (vi) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. After the sales reported above, the SSF AIVs no longer hold any shares of Common Stock.

F7: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.

HORNBECK OFFSHORE SERVICES, INC.

Report date September 01, 2026 · Filed September 09, 2026

Jointly reported with ASOF Investment Management LLC, ASOF II A (DE) Holdings I, L.P., ASOF II Holdings I, L.P., ASOF Holdings I, L.P., ASSF IV AIV B Holdings III, L.P., ASSF IV AIV B, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	3,585,001	Reported balance Holding disclosure · report date 2026-09-01 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,585,001 F1: Includes: (i) 10,107 shares of Common Stock and 134,887 warrants held by ASOF II A (DE) Holdings I, L.P., (ii) 56,103 shares of Common Stock and 748,260 warrants held by ASOF II Holdings I, L.P., (iii) 1,020,227 shares of Common Stock and 1,095,124 warrants held by ASOF Holdings I, L.P. (together with ASOF II A (DE) Holdings I, L.P. and ASOF II Holdings I, L.P., the "Ares SOF Holders"), (iv) 2,264,402 shares of Common Stock and 79,841 warrants held by ASSF IV AIV B Holdings III, L.P., (v) 72,506 shares of Common Stock and 2,208,429 warrants held by ASSF IV AIV B, L.P. (together with ASSF IV AIV B Holdings III, L.P., the "Ares SSF Holders") and (vi) 161,656 shares of Common Stock and 765,402 warrants held by two accounts managed or subadvised by Ares Management LLC with respect to which the Ares Entities (as defined below) may be deemed to have shared voting or dispositive power with the owners of such accounts (the "Ares Managed Accounts" and, such shares, the "Ares Managed Shares"). F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Management GP LLC and Ares Voting LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is (x) the general partner of ASSF Operating Manager IV, L.P., which is the manager of each of the Ares SSF Holders, (y) the sole member of ASOF Investment Management LLC, which is the manager of each of the Ares SOF Holders and (z) the investment manager or investment subadvisor of each of the Ares Managed Accounts. F3: We refer to all of the foregoing entities collectively as the Ares Entities. Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by it. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners. The Ares Entities disclaim beneficial ownership of the Ares Managed Shares for purposes of Section 16 and this report shall not be deemed an admission that any of the Ares Entities are the beneficial owner of the Ares Managed Shares for purposes of Section 16 or for any other purpose.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	23,840,862	Reported balance Holding disclosure · report date 2026-09-01 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 23,840,862 F4: Includes: (i) 4,749,024 shares of Common Stock held by ASOF HOS AIV 1, L.P., (ii) 1,871,251 shares of Common Stock and 16,507,261 warrants held by ASOF HOS AIV 2, L.P. (together with ASOF HOS AIV 1, L.P., the "Ares SOF HOS Holders"), (iii) 14,314,404 shares of Common Stock held by ASSF IV HOS AIV 1, L.P. and (iv) 2,906,183 shares of Common Stock and 21,390,290 warrants held by ASSF IV HOS AIV 2, L.P. (together with ASSF IV HOS AIV 1, L.P., the "Ares SSF HOS Holders"). F5: ASOF HOS GP, LLC is managed by a board of managers, which is composed of Evan Hoole, Matthew Jill and Naseem Sagati Aghili. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by ASOF HOS GP, LLC. ASOF HOS GP, LLC is the general partner of each of the Ares SSF HOS Holders and the Ares SOF HOS Holders. Accordingly, ASOF HOS GP, LLC may be deemed to share beneficial ownership of the securities held of record by the Ares SSF HOS Holders and the Ares SOF HOS Holders, but disclaims such beneficial ownership.
WarrantsSEC Table II · derivative / convertible security	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2026-09-01 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F7: The exercise price of the warrants is $0.00001. F6: The warrants are immediately exercisable but are subject to certain citizenship rules and limitations on exercise, sale, transfer or other disposition. The warrants do not expire. F1: Includes: (i) 10,107 shares of Common Stock and 134,887 warrants held by ASOF II A (DE) Holdings I, L.P., (ii) 56,103 shares of Common Stock and 748,260 warrants held by ASOF II Holdings I, L.P., (iii) 1,020,227 shares of Common Stock and 1,095,124 warrants held by ASOF Holdings I, L.P. (together with ASOF II A (DE) Holdings I, L.P. and ASOF II Holdings I, L.P., the "Ares SOF Holders"), (iv) 2,264,402 shares of Common Stock and 79,841 warrants held by ASSF IV AIV B Holdings III, L.P., (v) 72,506 shares of Common Stock and 2,208,429 warrants held by ASSF IV AIV B, L.P. (together with ASSF IV AIV B Holdings III, L.P., the "Ares SSF Holders") and (vi) 161,656 shares of Common Stock and 765,402 warrants held by two accounts managed or subadvised by Ares Management LLC with respect to which the Ares Entities (as defined below) may be deemed to have shared voting or dispositive power with the owners of such accounts (the "Ares Managed Accounts" and, such shares, the "Ares Managed Shares"). F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Management GP LLC and Ares Voting LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is (x) the general partner of ASSF Operating Manager IV, L.P., which is the manager of each of the Ares SSF Holders, (y) the sole member of ASOF Investment Management LLC, which is the manager of each of the Ares SOF Holders and (z) the investment manager or investment subadvisor of each of the Ares Managed Accounts. F3: We refer to all of the foregoing entities collectively as the Ares Entities. Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by it. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners. The Ares Entities disclaim beneficial ownership of the Ares Managed Shares for purposes of Section 16 and this report shall not be deemed an admission that any of the Ares Entities are the beneficial owner of the Ares Managed Shares for purposes of Section 16 or for any other purpose.
WarrantsSEC Table II · derivative / convertible security	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2026-09-01 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F7: The exercise price of the warrants is $0.00001. F6: The warrants are immediately exercisable but are subject to certain citizenship rules and limitations on exercise, sale, transfer or other disposition. The warrants do not expire. F4: Includes: (i) 4,749,024 shares of Common Stock held by ASOF HOS AIV 1, L.P., (ii) 1,871,251 shares of Common Stock and 16,507,261 warrants held by ASOF HOS AIV 2, L.P. (together with ASOF HOS AIV 1, L.P., the "Ares SOF HOS Holders"), (iii) 14,314,404 shares of Common Stock held by ASSF IV HOS AIV 1, L.P. and (iv) 2,906,183 shares of Common Stock and 21,390,290 warrants held by ASSF IV HOS AIV 2, L.P. (together with ASSF IV HOS AIV 1, L.P., the "Ares SSF HOS Holders"). F5: ASOF HOS GP, LLC is managed by a board of managers, which is composed of Evan Hoole, Matthew Jill and Naseem Sagati Aghili. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by ASOF HOS GP, LLC. ASOF HOS GP, LLC is the general partner of each of the Ares SSF HOS Holders and the Ares SOF HOS Holders. Accordingly, ASOF HOS GP, LLC may be deemed to share beneficial ownership of the securities held of record by the Ares SSF HOS Holders and the Ares SOF HOS Holders, but disclaims such beneficial ownership.

Filing footnotes · ownership attribution and instrument terms

F1: Includes: (i) 10,107 shares of Common Stock and 134,887 warrants held by ASOF II A (DE) Holdings I, L.P., (ii) 56,103 shares of Common Stock and 748,260 warrants held by ASOF II Holdings I, L.P., (iii) 1,020,227 shares of Common Stock and 1,095,124 warrants held by ASOF Holdings I, L.P. (together with ASOF II A (DE) Holdings I, L.P. and ASOF II Holdings I, L.P., the "Ares SOF Holders"), (iv) 2,264,402 shares of Common Stock and 79,841 warrants held by ASSF IV AIV B Holdings III, L.P., (v) 72,506 shares of Common Stock and 2,208,429 warrants held by ASSF IV AIV B, L.P. (together with ASSF IV AIV B Holdings III, L.P., the "Ares SSF Holders") and (vi) 161,656 shares of Common Stock and 765,402 warrants held by two accounts managed or subadvised by Ares Management LLC with respect to which the Ares Entities (as defined below) may be deemed to have shared voting or dispositive power with the owners of such accounts (the "Ares Managed Accounts" and, such shares, the "Ares Managed Shares").

F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Management GP LLC and Ares Voting LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is (x) the general partner of ASSF Operating Manager IV, L.P., which is the manager of each of the Ares SSF Holders, (y) the sole member of ASOF Investment Management LLC, which is the manager of each of the Ares SOF Holders and (z) the investment manager or investment subadvisor of each of the Ares Managed Accounts.

F3: We refer to all of the foregoing entities collectively as the Ares Entities. Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by it. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners. The Ares Entities disclaim beneficial ownership of the Ares Managed Shares for purposes of Section 16 and this report shall not be deemed an admission that any of the Ares Entities are the beneficial owner of the Ares Managed Shares for purposes of Section 16 or for any other purpose.

F4: Includes: (i) 4,749,024 shares of Common Stock held by ASOF HOS AIV 1, L.P., (ii) 1,871,251 shares of Common Stock and 16,507,261 warrants held by ASOF HOS AIV 2, L.P. (together with ASOF HOS AIV 1, L.P., the "Ares SOF HOS Holders"), (iii) 14,314,404 shares of Common Stock held by ASSF IV HOS AIV 1, L.P. and (iv) 2,906,183 shares of Common Stock and 21,390,290 warrants held by ASSF IV HOS AIV 2, L.P. (together with ASSF IV HOS AIV 1, L.P., the "Ares SSF HOS Holders").

F5: ASOF HOS GP, LLC is managed by a board of managers, which is composed of Evan Hoole, Matthew Jill and Naseem Sagati Aghili. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by ASOF HOS GP, LLC. ASOF HOS GP, LLC is the general partner of each of the Ares SSF HOS Holders and the Ares SOF HOS Holders. Accordingly, ASOF HOS GP, LLC may be deemed to share beneficial ownership of the securities held of record by the Ares SSF HOS Holders and the Ares SOF HOS Holders, but disclaims such beneficial ownership.

F6: The warrants are immediately exercisable but are subject to certain citizenship rules and limitations on exercise, sale, transfer or other disposition. The warrants do not expire.

F7: The exercise price of the warrants is $0.00001.

Savers Value Village, Inc.

Report date August 13, 2026 · Filed August 17, 2026

Jointly reported with ARES MANAGEMENT LLC, ACOF Investment Management LLC, Ares Corporate Opportunities Fund V, L.P., ASSF IV AIV B Holdings III, L.P., ASSF IV AIV B, L.P., ASOF Investment Management LLC, ASOF Holdings I, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	94,449,188	Reported balance After 2026-08-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-08-13 · Sale · Disposed 23,000,000 · Balance 94,449,188 F1: Following the transactions reported herein, includes 53,083,382 shares held by Ares Corporate Opportunities Fund V, L.P. ("ACOF V"), 5,435,262 shares held by ASSF IV AIV B Holdings III, L.P. ("ASSF IV AIV Holdings"), 7,945,865 shares held by ASSF IV AIV B, L.P. ("ASSF IV AIV") and 26,223,742 shares held by ASOF Holdings I, L.P. ("ASOF Holdings I"). Also includes 1,760,937 shares (the "Managed Shares") held by an account managed by ASSF Operating Manager IV, L.P. with respect to which the Ares Entities (as defined below) may be deemed to have shared voting or dispositive power. The Ares Entities disclaim beneficial ownership of the Managed Shares for purposes of Section 16 and this report shall not be deemed an admission that any of the Ares Entities are the beneficial owner of the Managed Shares for purposes of Section 16 or for any other purpose. F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Voting LLC and Ares Management GP LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is: (i) the sole member of ACOF Investment Management LLC, which is the manager of ACOF V; (ii) the general partner of ASSF Operating Manager IV, L.P., which is the manager of each of ASSF IV AIV Holdings and ASSF IV AIV; and (iii) the sole member of ASOF Investment Management LLC, which is the manager of ASOF Holdings I. We refer to all of the foregoing entities collectively as the Ares Entities F3: Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by them. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners.

Filing footnotes · ownership attribution and instrument terms

F1: Following the transactions reported herein, includes 53,083,382 shares held by Ares Corporate Opportunities Fund V, L.P. ("ACOF V"), 5,435,262 shares held by ASSF IV AIV B Holdings III, L.P. ("ASSF IV AIV Holdings"), 7,945,865 shares held by ASSF IV AIV B, L.P. ("ASSF IV AIV") and 26,223,742 shares held by ASOF Holdings I, L.P. ("ASOF Holdings I"). Also includes 1,760,937 shares (the "Managed Shares") held by an account managed by ASSF Operating Manager IV, L.P. with respect to which the Ares Entities (as defined below) may be deemed to have shared voting or dispositive power. The Ares Entities disclaim beneficial ownership of the Managed Shares for purposes of Section 16 and this report shall not be deemed an admission that any of the Ares Entities are the beneficial owner of the Managed Shares for purposes of Section 16 or for any other purpose.

F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Voting LLC and Ares Management GP LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is: (i) the sole member of ACOF Investment Management LLC, which is the manager of ACOF V; (ii) the general partner of ASSF Operating Manager IV, L.P., which is the manager of each of ASSF IV AIV Holdings and ASSF IV AIV; and (iii) the sole member of ASOF Investment Management LLC, which is the manager of ASOF Holdings I. We refer to all of the foregoing entities collectively as the Ares Entities

F3: Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by them. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Clear Channel Outdoor Holdings, Inc.

Report date September 09, 2025 · Filed September 11, 2025

Jointly reported with ARES MANAGEMENT LLC, ASSF IV AIV B Holdings III, L.P., ASSF IV AIV B, L.P., ASOF Holdings I, L.P., ASOF II Holdings I, L.P., ASOF II A (DE) Holdings I, L.P., ASOF Investment Management LLC, ACOF VI Holdings, L.P., ACOF Investment Management LLC

Section 16 reporting ended · disclosed 2025-09-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	41,197,491	Last balance in matching sequence After 2025-09-10 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2025-09-09 · Sale · Disposed 1,631,555 · Balance 54,197,491 F1: Following the transactions reported herein, includes: (i) 8,722,544 shares held by ASSF IV AIV B Holdings III, L.P. ("ASSF IV AIV B Holdings"), (ii) 984,295 shares held by ASSF IV AIV B, L.P. ("ASSF IV AIV B"), (iii) 19,332,427 shares held by ASOF Holdings I, L.P. ("ASOF I"), (iv) 5,095,692 shares held by ASOF II Holdings I, L.P. ("ASOF II Holdings I"), (v) 918,342 shares held by ASOF II A (DE) Holdings I, L.P. ("ASOF II A (DE) Holdings I"), and (vi) 6,144,191 shares held by ACOF VI Holdings, L.P. ("ACOF VI"). F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Voting LLC and Ares Management GP LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is: (i) the general partner of ASSF Operating Manager IV, L.P., which is the manager of ASSF IV AIV B Holdings and ASSF IV AIV B; (ii) the sole member of ASOF Investment Management LLC, which is the manager of ASOF I, ASOF II Holdings I and ASOF II A (DE) Holdings I; and (iii) the sole member of ACOF Investment Management LLC, which is the manager of ACOF VI. F3: We refer to all of the foregoing entities collectively as the Ares Entities. Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by them. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners. Row 2 · 2025-09-10 · Sale · Disposed 13,000,000 · Balance 41,197,491 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 to $1.2714, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F1: Following the transactions reported herein, includes: (i) 8,722,544 shares held by ASSF IV AIV B Holdings III, L.P. ("ASSF IV AIV B Holdings"), (ii) 984,295 shares held by ASSF IV AIV B, L.P. ("ASSF IV AIV B"), (iii) 19,332,427 shares held by ASOF Holdings I, L.P. ("ASOF I"), (iv) 5,095,692 shares held by ASOF II Holdings I, L.P. ("ASOF II Holdings I"), (v) 918,342 shares held by ASOF II A (DE) Holdings I, L.P. ("ASOF II A (DE) Holdings I"), and (vi) 6,144,191 shares held by ACOF VI Holdings, L.P. ("ACOF VI"). F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Voting LLC and Ares Management GP LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is: (i) the general partner of ASSF Operating Manager IV, L.P., which is the manager of ASSF IV AIV B Holdings and ASSF IV AIV B; (ii) the sole member of ASOF Investment Management LLC, which is the manager of ASOF I, ASOF II Holdings I and ASOF II A (DE) Holdings I; and (iii) the sole member of ACOF Investment Management LLC, which is the manager of ACOF VI. F3: We refer to all of the foregoing entities collectively as the Ares Entities. Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by them. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners.

Filing footnotes · ownership attribution and instrument terms

F1: Following the transactions reported herein, includes: (i) 8,722,544 shares held by ASSF IV AIV B Holdings III, L.P. ("ASSF IV AIV B Holdings"), (ii) 984,295 shares held by ASSF IV AIV B, L.P. ("ASSF IV AIV B"), (iii) 19,332,427 shares held by ASOF Holdings I, L.P. ("ASOF I"), (iv) 5,095,692 shares held by ASOF II Holdings I, L.P. ("ASOF II Holdings I"), (v) 918,342 shares held by ASOF II A (DE) Holdings I, L.P. ("ASOF II A (DE) Holdings I"), and (vi) 6,144,191 shares held by ACOF VI Holdings, L.P. ("ACOF VI").

F2: Ares Partners Holdco LLC ("Ares Partners") is the sole member of each of Ares Voting LLC and Ares Management GP LLC, which are respectively the holders of the Class B and Class C common stock of Ares Management Corporation ("Ares Management"), which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings L.P., which is the sole member of Ares Management LLC, which is: (i) the general partner of ASSF Operating Manager IV, L.P., which is the manager of ASSF IV AIV B Holdings and ASSF IV AIV B; (ii) the sole member of ASOF Investment Management LLC, which is the manager of ASOF I, ASOF II Holdings I and ASOF II A (DE) Holdings I; and (iii) the sole member of ACOF Investment Management LLC, which is the manager of ACOF VI.

F3: We refer to all of the foregoing entities collectively as the Ares Entities. Each of the Ares Entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by them. Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 to $1.2714, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

Frontier Communications Parent, Inc.

Report date December 10, 2024 · Filed December 12, 2024

Jointly reported with ARES MANAGEMENT LLC, ACOF Investment Management LLC, ASOF Investment Management LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Management GP LLC, Ares Voting LLC, Ares Partners Holdco LLC

Section 16 reporting ended · disclosed 2024-12-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	23,922,768	Reported balance After 2024-12-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-12-10 · Sale · Disposed 11,500,000 · Balance 23,922,768 F1: Following the transactions reported herein, includes (i) 90,699 shares held by ACOF VI Frontier AIV A1, L.P.; (ii) 32,525 shares held by ACOF VI Frontier AIV A2, L.P.; (iii) 7,589 shares held by ACOF VI Frontier AIV A3, L.P.; (iv) 98,660 shares held by ACOF VI Frontier AIV A4, L.P.; (v) 108,416 shares held by ACOF VI Frontier AIV A5, L.P.; (vi) 60,714 shares held by ACOF VI Frontier AIV A6, L.P.; (vii) 109,873 shares held by ACOF VI Frontier AIV A7, L.P.; (viii) 110,369 shares held by ACOF VI Frontier AIV A8, L.P.; (ix) 103,647 shares held by ACOF VI Frontier AIV A9, L.P.; (x) 32,775 shares held by ACOF VI Frontier AIV A10, L.P.; (xi) 5,470,925 shares held by ACOF VI Frontier AIV B1, L.P. (together with the foregoing entities, the "ACOF VI Funds"); (continued in next footnote) F2: (xii) 105,592 shares held by ASOF Frontier AIV A1, L.P.; (xiii) 18,032 shares held by ASOF Frontier AIV A2, L.P.; (xiv) 830,837 shares held by ASOF Frontier AIV A3, L.P.; (xv) 281,844 shares held by ASOF Frontier AIV A4, L.P.; (xvi) 167,160 shares held by ASOF Frontier AIV A5, L.P.; (xvii) 292,124 shares held by ASOF Frontier AIV A6, L.P.; (xviii) 289,417 shares held by ASOF Frontier AIV A7, L.P.; (xix) 238,026 shares held by ASOF Frontier AIV A8, L.P.; (xx) 360,644 shares held by ASOF Frontier AIV A9, L.P.; (xxi) 259,665 shares held by ASOF Frontier AIV A10, L.P.; (xxii) 245,236 shares held by ASOF Frontier AIV A11, L.P.; (xxiii) 9,597,579 shares held by ASOF Frontier AIV B1, L.P. (together with the foregoing entities, the "ASOF Funds"); (continued in next footnote) F3: (xxiv) 2,003,418 shares held by ASOF II Frontier Holdings 1 L.P.; (xxv) 96,560 shares held by ASOF II Frontier Holdings 2 L.P.; (xxvi) 107,553 shares held by ASOF II Frontier Holdings 3 L.P.; (xxvii) 104,240 shares held by ASOF II Frontier Holdings 4 L.P.; (xxviii) 103,240 shares held by ASOF II Frontier Holdings 5 L.P.; (xxix) 109,407 shares held by ASOF II Frontier Holdings 6 L.P.; (xxx) 109,675 shares held by ASOF II Frontier Holdings 7 L.P.; (xxxi) 479,922 shares held by ASOF II A (DE) Frontier Holdings 1 L.P.; (xxxii) 17,664 shares held by ASOF II A (DE) Frontier Holdings 2 L.P. (together with the foregoing entities, the "ASOF II Funds"); (continued in next footnote) F4: (xxxiii) 946,429 shares held by ASSF IV AIV B Holdings III, L.P. and (xxxiv) 932,312 shares held by ASSF IV AIV B, L.P. (together with the foregoing entity, the "ASSF Funds"). F5: Ares Partners Holdco LLC is the sole member of each of Ares Voting LLC and Ares Management GP LLC, which together are the majority shareholders of Ares Management Corporation. Ares Management Corporation is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings LP, which is the sole member of Ares Management LLC, which is (a) the sole member of ACOF Investment Management LLC, which is the manager of the ACOF VI Funds, (b) the sole member of ASOF Investment Management LLC, which is the manager of the ASOF Funds and ASOF II Funds and (c) the general partner of ASSF Operating Manager IV, L.P., which is the manager of the ASSF Funds. F6: Each of the foregoing entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by them. Ares Partners Holdco LLC is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners Holdco LLC.

Filing footnotes · ownership attribution and instrument terms

F1: Following the transactions reported herein, includes (i) 90,699 shares held by ACOF VI Frontier AIV A1, L.P.; (ii) 32,525 shares held by ACOF VI Frontier AIV A2, L.P.; (iii) 7,589 shares held by ACOF VI Frontier AIV A3, L.P.; (iv) 98,660 shares held by ACOF VI Frontier AIV A4, L.P.; (v) 108,416 shares held by ACOF VI Frontier AIV A5, L.P.; (vi) 60,714 shares held by ACOF VI Frontier AIV A6, L.P.; (vii) 109,873 shares held by ACOF VI Frontier AIV A7, L.P.; (viii) 110,369 shares held by ACOF VI Frontier AIV A8, L.P.; (ix) 103,647 shares held by ACOF VI Frontier AIV A9, L.P.; (x) 32,775 shares held by ACOF VI Frontier AIV A10, L.P.; (xi) 5,470,925 shares held by ACOF VI Frontier AIV B1, L.P. (together with the foregoing entities, the "ACOF VI Funds"); (continued in next footnote)

F2: (xii) 105,592 shares held by ASOF Frontier AIV A1, L.P.; (xiii) 18,032 shares held by ASOF Frontier AIV A2, L.P.; (xiv) 830,837 shares held by ASOF Frontier AIV A3, L.P.; (xv) 281,844 shares held by ASOF Frontier AIV A4, L.P.; (xvi) 167,160 shares held by ASOF Frontier AIV A5, L.P.; (xvii) 292,124 shares held by ASOF Frontier AIV A6, L.P.; (xviii) 289,417 shares held by ASOF Frontier AIV A7, L.P.; (xix) 238,026 shares held by ASOF Frontier AIV A8, L.P.; (xx) 360,644 shares held by ASOF Frontier AIV A9, L.P.; (xxi) 259,665 shares held by ASOF Frontier AIV A10, L.P.; (xxii) 245,236 shares held by ASOF Frontier AIV A11, L.P.; (xxiii) 9,597,579 shares held by ASOF Frontier AIV B1, L.P. (together with the foregoing entities, the "ASOF Funds"); (continued in next footnote)

F3: (xxiv) 2,003,418 shares held by ASOF II Frontier Holdings 1 L.P.; (xxv) 96,560 shares held by ASOF II Frontier Holdings 2 L.P.; (xxvi) 107,553 shares held by ASOF II Frontier Holdings 3 L.P.; (xxvii) 104,240 shares held by ASOF II Frontier Holdings 4 L.P.; (xxviii) 103,240 shares held by ASOF II Frontier Holdings 5 L.P.; (xxix) 109,407 shares held by ASOF II Frontier Holdings 6 L.P.; (xxx) 109,675 shares held by ASOF II Frontier Holdings 7 L.P.; (xxxi) 479,922 shares held by ASOF II A (DE) Frontier Holdings 1 L.P.; (xxxii) 17,664 shares held by ASOF II A (DE) Frontier Holdings 2 L.P. (together with the foregoing entities, the "ASOF II Funds"); (continued in next footnote)

F4: (xxxiii) 946,429 shares held by ASSF IV AIV B Holdings III, L.P. and (xxxiv) 932,312 shares held by ASSF IV AIV B, L.P. (together with the foregoing entity, the "ASSF Funds").

F5: Ares Partners Holdco LLC is the sole member of each of Ares Voting LLC and Ares Management GP LLC, which together are the majority shareholders of Ares Management Corporation. Ares Management Corporation is the sole member of Ares Holdco LLC, which is the general partner of Ares Management Holdings LP, which is the sole member of Ares Management LLC, which is (a) the sole member of ACOF Investment Management LLC, which is the manager of the ACOF VI Funds, (b) the sole member of ASOF Investment Management LLC, which is the manager of the ASOF Funds and ASOF II Funds and (c) the general partner of ASSF Operating Manager IV, L.P., which is the manager of the ASSF Funds.

F6: Each of the foregoing entities may be deemed to share beneficial ownership of the securities reported herein, but each disclaims any such beneficial ownership of securities not held of record by them. Ares Partners Holdco LLC is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of these individuals disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by Ares Partners Holdco LLC.

Infrastructure & Energy Alternatives, Inc.

Report date October 07, 2022 · Filed October 11, 2022

Jointly reported with ARES MANAGEMENT LLC, Ares Special Situations Fund IV, L.P., ASOF Holdings I, L.P., ASOF Investment Management LLC

Section 16 reporting ended · disclosed 2022-10-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common Stock, $0.0001 par value per shareSEC Table I · non-derivative	Direct	Reported balance After 2022-10-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-10-07 · Disposition to issuer · Disposed 67,690 · Balance 0 F1: Each share was disposed of subject to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 24, 2022, by and among MasTec, Inc. ("MasTec"), Indigo Acquisition I Corp. and the Issuer, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger.
Common Stock, $0.0001 par value per shareSEC Table I · non-derivative	IndirectBy ASOF Holdings I, L.P.	Reported balance After 2022-10-07 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-10-07 · Disposition to issuer · Disposed 11,554,630 · Balance 0 F1: Each share was disposed of subject to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 24, 2022, by and among MasTec, Inc. ("MasTec"), Indigo Acquisition I Corp. and the Issuer, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger. F2: This statement is being filed jointly by (i) Ares Special Situations Fund IV, L.P. ("ASSF IV"), (ii) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (iii) ASOF Holdings I, L.P ("ASOF"), (iv) ASOF Investment Management LLC ("ASOF Investment Management"), (v) Ares Management LLC, (vi) Ares Management Holdings L.P. ("Ares Management Holdings"), (vii) Ares Holdco LLC ("Ares Holdco"), (viii) Ares Management Corporation ("Ares Management"), (ix) Ares Voting LLC ("Ares Voting"), (x) Ares Management GP LLC ("Ares Management GP") and (xi) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). This Form 4 is being filed in two parts due to the number of Reporting Persons. F3: Ares Partners is the sole member of each of Ares Voting and Ares Management GP, which are respectively the holders of the Class B and Class C common stock of Ares Management, which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco, which is the general partner of Ares Management Holdings, which is the sole member of Ares Management LLC, which is: (a) the general partner of ASSF Operating Manager IV, which is the manager of ASSF IV and (b) the sole member of ASOF Investment Management, which is the manager of ASOF. F4: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purposes.
Common Stock, $0.0001 par value per shareSEC Table I · non-derivative	IndirectBy Ares Special Situations Fund IV, L.P.	Reported balance After 2022-10-07 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2022-10-07 · Disposition to issuer · Disposed 3,686,645 · Balance 0 F1: Each share was disposed of subject to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 24, 2022, by and among MasTec, Inc. ("MasTec"), Indigo Acquisition I Corp. and the Issuer, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger. F2: This statement is being filed jointly by (i) Ares Special Situations Fund IV, L.P. ("ASSF IV"), (ii) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (iii) ASOF Holdings I, L.P ("ASOF"), (iv) ASOF Investment Management LLC ("ASOF Investment Management"), (v) Ares Management LLC, (vi) Ares Management Holdings L.P. ("Ares Management Holdings"), (vii) Ares Holdco LLC ("Ares Holdco"), (viii) Ares Management Corporation ("Ares Management"), (ix) Ares Voting LLC ("Ares Voting"), (x) Ares Management GP LLC ("Ares Management GP") and (xi) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). This Form 4 is being filed in two parts due to the number of Reporting Persons. F3: Ares Partners is the sole member of each of Ares Voting and Ares Management GP, which are respectively the holders of the Class B and Class C common stock of Ares Management, which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco, which is the general partner of Ares Management Holdings, which is the sole member of Ares Management LLC, which is: (a) the general partner of ASSF Operating Manager IV, which is the manager of ASSF IV and (b) the sole member of ASOF Investment Management, which is the manager of ASOF. F4: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purposes.
Warrants to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectBy ASOF Holdings I, L.P.	Reported balance After 2022-10-07 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-10-07 · Disposition to issuer · Disposed 4,327,322 · Balance 0 F5: Each warrant was disposed of subject to the terms Merger Agreement, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger. F2: This statement is being filed jointly by (i) Ares Special Situations Fund IV, L.P. ("ASSF IV"), (ii) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (iii) ASOF Holdings I, L.P ("ASOF"), (iv) ASOF Investment Management LLC ("ASOF Investment Management"), (v) Ares Management LLC, (vi) Ares Management Holdings L.P. ("Ares Management Holdings"), (vii) Ares Holdco LLC ("Ares Holdco"), (viii) Ares Management Corporation ("Ares Management"), (ix) Ares Voting LLC ("Ares Voting"), (x) Ares Management GP LLC ("Ares Management GP") and (xi) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). This Form 4 is being filed in two parts due to the number of Reporting Persons. F3: Ares Partners is the sole member of each of Ares Voting and Ares Management GP, which are respectively the holders of the Class B and Class C common stock of Ares Management, which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco, which is the general partner of Ares Management Holdings, which is the sole member of Ares Management LLC, which is: (a) the general partner of ASSF Operating Manager IV, which is the manager of ASSF IV and (b) the sole member of ASOF Investment Management, which is the manager of ASOF. F4: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purposes.
Warrants to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectBy ASOF Holdings I, L.P.	Reported balance After 2022-10-07 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-10-07 · Disposition to issuer · Disposed 296,661 · Balance 0 F5: Each warrant was disposed of subject to the terms Merger Agreement, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger. F2: This statement is being filed jointly by (i) Ares Special Situations Fund IV, L.P. ("ASSF IV"), (ii) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (iii) ASOF Holdings I, L.P ("ASOF"), (iv) ASOF Investment Management LLC ("ASOF Investment Management"), (v) Ares Management LLC, (vi) Ares Management Holdings L.P. ("Ares Management Holdings"), (vii) Ares Holdco LLC ("Ares Holdco"), (viii) Ares Management Corporation ("Ares Management"), (ix) Ares Voting LLC ("Ares Voting"), (x) Ares Management GP LLC ("Ares Management GP") and (xi) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). This Form 4 is being filed in two parts due to the number of Reporting Persons. F3: Ares Partners is the sole member of each of Ares Voting and Ares Management GP, which are respectively the holders of the Class B and Class C common stock of Ares Management, which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco, which is the general partner of Ares Management Holdings, which is the sole member of Ares Management LLC, which is: (a) the general partner of ASSF Operating Manager IV, which is the manager of ASSF IV and (b) the sole member of ASOF Investment Management, which is the manager of ASOF. F4: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purposes.
Warrants to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectBy Ares Special Situations Fund IV, L.P.	Reported balance After 2022-10-07 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2022-10-07 · Disposition to issuer · Disposed 339,136 · Balance 0 F5: Each warrant was disposed of subject to the terms Merger Agreement, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger. F2: This statement is being filed jointly by (i) Ares Special Situations Fund IV, L.P. ("ASSF IV"), (ii) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (iii) ASOF Holdings I, L.P ("ASOF"), (iv) ASOF Investment Management LLC ("ASOF Investment Management"), (v) Ares Management LLC, (vi) Ares Management Holdings L.P. ("Ares Management Holdings"), (vii) Ares Holdco LLC ("Ares Holdco"), (viii) Ares Management Corporation ("Ares Management"), (ix) Ares Voting LLC ("Ares Voting"), (x) Ares Management GP LLC ("Ares Management GP") and (xi) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). This Form 4 is being filed in two parts due to the number of Reporting Persons. F3: Ares Partners is the sole member of each of Ares Voting and Ares Management GP, which are respectively the holders of the Class B and Class C common stock of Ares Management, which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco, which is the general partner of Ares Management Holdings, which is the sole member of Ares Management LLC, which is: (a) the general partner of ASSF Operating Manager IV, which is the manager of ASSF IV and (b) the sole member of ASOF Investment Management, which is the manager of ASOF. F4: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Each share was disposed of subject to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 24, 2022, by and among MasTec, Inc. ("MasTec"), Indigo Acquisition I Corp. and the Issuer, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger.

F2: This statement is being filed jointly by (i) Ares Special Situations Fund IV, L.P. ("ASSF IV"), (ii) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (iii) ASOF Holdings I, L.P ("ASOF"), (iv) ASOF Investment Management LLC ("ASOF Investment Management"), (v) Ares Management LLC, (vi) Ares Management Holdings L.P. ("Ares Management Holdings"), (vii) Ares Holdco LLC ("Ares Holdco"), (viii) Ares Management Corporation ("Ares Management"), (ix) Ares Voting LLC ("Ares Voting"), (x) Ares Management GP LLC ("Ares Management GP") and (xi) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). This Form 4 is being filed in two parts due to the number of Reporting Persons.

F3: Ares Partners is the sole member of each of Ares Voting and Ares Management GP, which are respectively the holders of the Class B and Class C common stock of Ares Management, which common stock allows them, collectively, to generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. Ares Management is the sole member of Ares Holdco, which is the general partner of Ares Management Holdings, which is the sole member of Ares Management LLC, which is: (a) the general partner of ASSF Operating Manager IV, which is the manager of ASSF IV and (b) the sole member of ASOF Investment Management, which is the manager of ASOF.

F4: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purposes.

F5: Each warrant was disposed of subject to the terms Merger Agreement, for a price, subject to the Merger Agreement, of $10.50 in cash consideration and 0.0483 shares of MasTec common stock having a market value of $65.53 per share on the effective date of the merger.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 11, 2021 Filed Jun 15, 2021 20:01 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	230,000	$33.08	$7,608,400.00	Disclosure SEC source: 0001104659-21-081459 · tm2118096-22_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,651,592 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · shares: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 15,651,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 729,909 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,671,090 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,721,044 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 303,620 shares of Common Stock, (vii) SSF AIV 1B directly holds 270,693 shares of Common Stock, (viii) SSF AIV 2 directly holds 440,669 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · balance_after: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 15,651,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 729,909 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,671,090 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,721,044 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 303,620 shares of Common Stock, (vii) SSF AIV 1B directly holds 270,693 shares of Common Stock, (viii) SSF AIV 2 directly holds 440,669 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · ownership.nature: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 15,651,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 729,909 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,671,090 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,721,044 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 303,620 shares of Common Stock, (vii) SSF AIV 1B directly holds 270,693 shares of Common Stock, (viii) SSF AIV 2 directly holds 440,669 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 10, 2021 Filed Jun 14, 2021 20:02 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	250,000	$32.58	$8,145,000.00	Disclosure SEC source: 0001104659-21-080753 · tm2118096-20_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,881,592 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · shares: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively,the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 15,881,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 738,575 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,702,799 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,753,347 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 350,681 shares of Common Stock, (vii) SSF AIV 1B directly holds 312,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 508,973 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · balance_after: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively,the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 15,881,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 738,575 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,702,799 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,753,347 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 350,681 shares of Common Stock, (vii) SSF AIV 1B directly holds 312,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 508,973 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · ownership.nature: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: The amount of profit potentially recoverable by the Issuer from the reported transactions, if any, has been remitted to the Issuer. F4 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively,the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 15,881,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 738,575 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,702,799 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,753,347 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 350,681 shares of Common Stock, (vii) SSF AIV 1B directly holds 312,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 508,973 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 09, 2021 Filed Jun 11, 2021 20:22 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	202,995	$32.88	$6,674,475.60	Disclosure SEC source: 0001104659-21-080154 · tm2118096-16_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,131,592 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · shares: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,131,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 747,994 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,737,266 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,788,459 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 401,834 shares of Common Stock, (vii) SSF AIV 1B directly holds 358,256 shares of Common Stock, (viii) SSF AIV 2 directly holds 583,216 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · balance_after: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,131,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 747,994 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,737,266 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,788,459 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 401,834 shares of Common Stock, (vii) SSF AIV 1B directly holds 358,256 shares of Common Stock, (viii) SSF AIV 2 directly holds 583,216 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · ownership.nature: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,131,592 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 747,994 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,737,266 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,788,459 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 401,834 shares of Common Stock, (vii) SSF AIV 1B directly holds 358,256 shares of Common Stock, (viii) SSF AIV 2 directly holds 583,216 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 08, 2021 Filed Jun 10, 2021 20:03 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	150,000	$32.54	$4,881,000.00	Disclosure SEC source: 0001104659-21-079404 · tm2118096-14_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,334,587 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · shares: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,334,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 755,642 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,765,252 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,816,969 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 443,369 shares of Common Stock, (vii) SSF AIV 1B directly holds 395,286 shares of Common Stock, (viii) SSF AIV 2 directly holds 643,502 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · balance_after: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,334,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 755,642 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,765,252 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,816,969 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 443,369 shares of Common Stock, (vii) SSF AIV 1B directly holds 395,286 shares of Common Stock, (viii) SSF AIV 2 directly holds 643,502 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · ownership.nature: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,334,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 755,642 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,765,252 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,816,969 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 443,369 shares of Common Stock, (vii) SSF AIV 1B directly holds 395,286 shares of Common Stock, (viii) SSF AIV 2 directly holds 643,502 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 07, 2021 Filed Jun 9, 2021 23:13 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	100,000	$32.95	$3,295,000.00	Disclosure SEC source: 0001104659-21-078959 · tm2118096-11_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,484,587 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · shares: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,484,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 761,293 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,785,932 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,838,036 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 474,061 shares of Common Stock, (vii) SSF AIV 1B directly holds 422,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 668,048 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. These holdings reflect 2,759 shares previously incorrectly reported as beneficially owned by ACOF AIV 2 that were actually beneficially owned by ACOF AIV 1A. F7 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · balance_after: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,484,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 761,293 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,785,932 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,838,036 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 474,061 shares of Common Stock, (vii) SSF AIV 1B directly holds 422,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 668,048 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. These holdings reflect 2,759 shares previously incorrectly reported as beneficially owned by ACOF AIV 2 that were actually beneficially owned by ACOF AIV 1A. F7 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · ownership.nature: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,484,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 761,293 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,785,932 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,838,036 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 474,061 shares of Common Stock, (vii) SSF AIV 1B directly holds 422,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 668,048 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. These holdings reflect 2,759 shares previously incorrectly reported as beneficially owned by ACOF AIV 2 that were actually beneficially owned by ACOF AIV 1A. F7 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 07, 2021 Filed Jun 23, 2021 22:34 UTC Amendment	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	100,000	$32.97	$3,297,000.00	Disclosure SEC source: 0001104659-21-084726 · tm2120107-8_4aseq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,484,587 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · shares: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,484,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 761,293 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,785,932 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,838,036 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 474,061 shares of Common Stock, (vii) SSF AIV 1B directly holds 422,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 668,048 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. These holdings reflect 2,759 shares previously incorrectly reported as beneficially owned by ACOF AIV 2 that were actually beneficially owned by ACOF AIV 1A. F6 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F7 · price: The price in Column 4 reported in this Form 4 corrects a two cents error in the original Form 4 (filed on June 9, 2021). On June 8, 2021, the Reporting Persons disgorged to the Issuer the full amount of profit potentially recoverable by the Issuer with respect to the reported transaction using the correct price of $32.97. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · balance_after: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,484,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 761,293 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,785,932 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,838,036 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 474,061 shares of Common Stock, (vii) SSF AIV 1B directly holds 422,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 668,048 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. These holdings reflect 2,759 shares previously incorrectly reported as beneficially owned by ACOF AIV 2 that were actually beneficially owned by ACOF AIV 1A. F6 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · ownership.nature: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,484,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 761,293 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,785,932 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,838,036 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 474,061 shares of Common Stock, (vii) SSF AIV 1B directly holds 422,650 shares of Common Stock, (viii) SSF AIV 2 directly holds 668,048 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. These holdings reflect 2,759 shares previously incorrectly reported as beneficially owned by ACOF AIV 2 that were actually beneficially owned by ACOF AIV 1A. F6 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 04, 2021 Filed Jun 8, 2021 23:29 UTC	California Resources Corp CRC · Entity 3937	PurchaseCommon Stock, par value $0.01	138,000	$30.21	$4,168,980.00	Disclosure SEC source: 0001104659-21-078382 · tm2118096-9_4seq1.xml · nonDerivative · entry 2 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,584,587 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. (Continued in footnote 2) F2 · shares: ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,584,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 762,303 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,799,717 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,854,841 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 494,523 shares of Common Stock, (vii) SSF AIV 1B directly holds 440,888 shares of Common Stock, (viii) SSF AIV 2 directly holds 717,748 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. (Continued in footnote 2) F2 · balance_after: ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,584,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 762,303 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,799,717 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,854,841 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 494,523 shares of Common Stock, (vii) SSF AIV 1B directly holds 440,888 shares of Common Stock, (viii) SSF AIV 2 directly holds 717,748 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. (Continued in footnote 2) F2 · ownership.nature: ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,584,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 762,303 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,799,717 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,854,841 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 494,523 shares of Common Stock, (vii) SSF AIV 1B directly holds 440,888 shares of Common Stock, (viii) SSF AIV 2 directly holds 717,748 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 04, 2021 Filed Jun 8, 2021 23:29 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	13,000	$29.90	$388,700.00	Disclosure SEC source: 0001104659-21-078382 · tm2118096-9_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,446,587 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. (Continued in footnote 2) F2 · shares: ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,584,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 762,303 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,799,717 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,854,841 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 494,523 shares of Common Stock, (vii) SSF AIV 1B directly holds 440,888 shares of Common Stock, (viii) SSF AIV 2 directly holds 717,748 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. (Continued in footnote 2) F2 · balance_after: ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,584,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 762,303 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,799,717 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,854,841 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 494,523 shares of Common Stock, (vii) SSF AIV 1B directly holds 440,888 shares of Common Stock, (viii) SSF AIV 2 directly holds 717,748 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. (Continued in footnote 2) F2 · ownership.nature: ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: The amount of profit potentially recoverable by the Issuer from the reported transactions has been remitted to the Issuer. F4 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 5) F5 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F6 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,584,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 762,303 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,799,717 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,854,841 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 494,523 shares of Common Stock, (vii) SSF AIV 1B directly holds 440,888 shares of Common Stock, (viii) SSF AIV 2 directly holds 717,748 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F7 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 03, 2021 Filed Jun 7, 2021 20:01 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	226,261	$29.57	$6,690,537.77	Disclosure SEC source: 0001104659-21-077632 · tm2118096-6_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,459,587 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · shares: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("AresManagement"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("AresPartners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filedin duplicate. F3 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,459,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 757,593 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,782,479 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,837,287 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 468,943 shares of Common Stock, (vii) SSF AIV 1B directly holds 418,089 shares of Common Stock, (viii) SSF AIV 2 directly holds 680,629 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · balance_after: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("AresManagement"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("AresPartners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filedin duplicate. F3 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,459,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 757,593 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,782,479 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,837,287 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 468,943 shares of Common Stock, (vii) SSF AIV 1B directly holds 418,089 shares of Common Stock, (viii) SSF AIV 2 directly holds 680,629 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (Continued in footnote 2) F2 · ownership.nature: (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("AresManagement"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("AresPartners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filedin duplicate. F3 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,459,587 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 757,593 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,782,479 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,837,287 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 468,943 shares of Common Stock, (vii) SSF AIV 1B directly holds 418,089 shares of Common Stock, (viii) SSF AIV 2 directly holds 680,629 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 02, 2021 Filed Jun 3, 2021 20:06 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	100,000	$30.05	$3,005,000.00	Disclosure SEC source: 0001104659-21-076364 · tm2118096-4_4seq1.xml · nonDerivative · entry 2 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,685,848 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (Continued in footnote 2) F2 · shares: (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,685,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 766,204 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,813,673 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,868,979 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 515,238 shares of Common Stock, (vii) SSF AIV 1B directly holds 459,360 shares of Common Stock, (viii) SSF AIV 2 directly holds 747,827 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (Continued in footnote 2) F2 · balance_after: (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,685,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 766,204 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,813,673 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,868,979 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 515,238 shares of Common Stock, (vii) SSF AIV 1B directly holds 459,360 shares of Common Stock, (viii) SSF AIV 2 directly holds 747,827 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (Continued in footnote 2) F2 · ownership.nature: (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,685,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 766,204 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,813,673 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,868,979 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 515,238 shares of Common Stock, (vii) SSF AIV 1B directly holds 459,360 shares of Common Stock, (viii) SSF AIV 2 directly holds 747,827 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:06 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	300,000	$30.02	$9,006,000.00	Disclosure SEC source: 0001104659-21-076364 · tm2118096-4_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,785,848 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (Continued in footnote 2) F2 · shares: (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,685,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 766,204 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,813,673 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,868,979 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 515,238 shares of Common Stock, (vii) SSF AIV 1B directly holds 459,360 shares of Common Stock, (viii) SSF AIV 2 directly holds 747,827 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (Continued in footnote 2) F2 · balance_after: (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,685,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 766,204 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,813,673 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,868,979 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 515,238 shares of Common Stock, (vii) SSF AIV 1B directly holds 459,360 shares of Common Stock, (viii) SSF AIV 2 directly holds 747,827 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (xiv) Ares Holdco LLC ("Ares Holdco"), (Continued in footnote 2) F2 · ownership.nature: (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 16,685,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 766,204 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,813,673 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,868,979 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 515,238 shares of Common Stock, (vii) SSF AIV 1B directly holds 459,360 shares of Common Stock, (viii) SSF AIV 2 directly holds 747,827 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
May 28, 2021 Filed Jun 2, 2021 01:07 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	39,000	$30.34	$1,183,260.00	Disclosure SEC source: 0001104659-21-075286 · tm2118096-1_4seq1.xml · nonDerivative · entry 2 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 17,085,848 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (Continued in footnote 2) F2 · shares: (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 17,085,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 781,221 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,868,820 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,925,210 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 597,083 shares of Common Stock, (vii) SSF AIV 1B directly holds 532,328 shares of Common Stock, (viii) SSF AIV 2 directly holds 866,619 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (Continued in footnote 2) F2 · balance_after: (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 17,085,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 781,221 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,868,820 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,925,210 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 597,083 shares of Common Stock, (vii) SSF AIV 1B directly holds 532,328 shares of Common Stock, (viii) SSF AIV 2 directly holds 866,619 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (Continued in footnote 2) F2 · ownership.nature: (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 17,085,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 781,221 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,868,820 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,925,210 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 597,083 shares of Common Stock, (vii) SSF AIV 1B directly holds 532,328 shares of Common Stock, (viii) SSF AIV 2 directly holds 866,619 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
May 27, 2021 Filed Jun 2, 2021 01:07 UTC	California Resources Corp CRC · Entity 3937	SaleCommon Stock, par value $0.01	200,000	$30.00	$6,000,000.00	Disclosure SEC source: 0001104659-21-075286 · tm2118096-1_4seq1.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner ACOF Investment Management LLC · CIK 0001684171 · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Management Corp · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Voting LLC · CIK 0001761656 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 17,124,848 F1 · shares: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (Continued in footnote 2) F2 · shares: (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · shares: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · shares: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · shares: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 17,085,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 781,221 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,868,820 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,925,210 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 597,083 shares of Common Stock, (vii) SSF AIV 1B directly holds 532,328 shares of Common Stock, (viii) SSF AIV 2 directly holds 866,619 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · shares: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · balance_after: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (Continued in footnote 2) F2 · balance_after: (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · balance_after: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · balance_after: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · balance_after: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 17,085,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 781,221 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,868,820 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,925,210 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 597,083 shares of Common Stock, (vii) SSF AIV 1B directly holds 532,328 shares of Common Stock, (viii) SSF AIV 2 directly holds 866,619 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · balance_after: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F1 · ownership.nature: This statement is being filed jointly by (i) AF V Energy IV AIV 1A, L.P. ("ACOF AIV 1A"), (ii) AF V Energy IV AIV 1B, L.P. ("ACOF AIV 1B"), (iii) AF V Energy IV AIV 2, L.P. ("ACOF AIV 2" and, together with ACOF AIV 1A and ACOF AIV 1B, the "ACOF AIVs"), (iv) AEOF ECR AIV A-B, L.P. ("AEOF AIV A-B"), (v) AEOF ECR AIV C, L.P. ("AEOF AIV C" and, together with AEOF AIV A-B, the "AEOF AIVs"), (vi) AF Energy Feeder, L.P., (vii) ACOF Investment Management LLC ("ACOF Investment Management"), (viii) SSF IV Energy I AIV 1A, L.P. ("SSF AIV 1A"), (ix) SSF IV Energy I AIV 1B, L.P. ("SSF AIV 1B"), (x) SSF IV Energy I AIV 2, L.P. ("SSF AIV 2" and, together with SSF AIV 1A and SSF AIV 1B, the "SSF AIVs"), (xi) ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), (xii) Ares Management LLC, (xiii) Ares Management Holdings L.P. ("Ares Management Holdings"), (Continued in footnote 2) F2 · ownership.nature: (xiv) Ares Holdco LLC ("Ares Holdco"), (xv) Ares Management Corporation ("Ares Management"), (xvi) Ares Voting LLC ("Ares Voting"), (xvii) Ares Management GP LLC ("Ares Management GP") and (xviii) Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3 · ownership.nature: ACOF Investment Management is the manager of each of the ACOF AIVs, the AEOF AIVs and AF Energy Feeder, L.P., and the sole member of ACOF Investment Management is Ares Management LLC. ASSF Operating Manager IV is the manager of the SSF AIVs, and the general partner of ASSF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings and the general partner of Ares Management Holdings is Ares Holdco. The sole member of Ares Holdco is Ares Management. Ares Management GP is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners. Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. F5 · ownership.nature: The Reporting Persons collectively beneficially own, or may be deemed to beneficially own, in the aggregate 17,085,848 shares of Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) ACOF AIV 1A directly holds 781,221 shares of Common Stock, (ii) ACOF AIV 1B directly holds 2,868,820 shares of Common Stock, (iii) ACOF AIV 2 directly holds 2,925,210 shares of Common Stock, (iv) AEOF AIV A-B directly holds 1,894,861 shares of Common Stock, (v) AEOF AIV C directly holds 804,524 shares of Common Stock, (vi) SSF AIV 1A directly holds 597,083 shares of Common Stock, (vii) SSF AIV 1B directly holds 532,328 shares of Common Stock, (viii) SSF AIV 2 directly holds 866,619 shares of Common Stock and (ix) AF Energy Feeder, L.P. directly holds 5,815,182 shares of Common Stock. F6 · ownership.nature: Each of the Reporting Persons (other than the ACOF AIVs, the AEOF AIVs, the SSF AIVs and AF Energy Feeder, L.P with respect to the shares of Common Stock directly held by them) and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries B-3 Preferred Stock, par value $0.0001 per share	2,898	$1,000.00	$2,898,000.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 8 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Ares Special Situations Fund IV, L.P. Disclosed balance after: 27,898 F1 · date: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F1 · kind: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · kind: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · shares: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · shares: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · acquired: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · acquired: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · balance_after: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · balance_after: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F7 · balance_after: Includes 25,000 shares of Series B-3 Preferred Stock purchased by ASSF IV on November 14, 2019 pursuant to the October 2019 ECA. Such shares of Series B-3 Preferred Stock were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F1 · ownership.nature: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · ownership.nature: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F7 · ownership.nature: Includes 25,000 shares of Series B-3 Preferred Stock purchased by ASSF IV on November 14, 2019 pursuant to the October 2019 ECA. Such shares of Series B-3 Preferred Stock were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
February 09, 2021 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries B-3 Preferred Stock, par value $0.0001 per share	16,225.87	$1,000.00	$16,225,870.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 7 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By ASOF Holdings I, L.P. Disclosed balance after: 71,225.87 F1 · date: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F1 · kind: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · kind: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · shares: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · shares: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · acquired: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · acquired: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · balance_after: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · balance_after: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F6 · balance_after: Includes 55,000 shares of Series B-3 Preferred Stock purchased by ASOF on November 14, 2019 pursuant to the Equity Commitment Agreement, dated as of October 29, 2019 (the "October 2019 ECA"). Such shares of Series B-3 Preferred Stock were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F1 · ownership.nature: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · ownership.nature: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F6 · ownership.nature: Includes 55,000 shares of Series B-3 Preferred Stock purchased by ASOF on November 14, 2019 pursuant to the Equity Commitment Agreement, dated as of October 29, 2019 (the "October 2019 ECA"). Such shares of Series B-3 Preferred Stock were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
February 09, 2021 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries B-1 Preferred Stock, par value $0.0001 per share	3,030	$1,000.00	$3,030,000.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 4 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Ares Special Situations Fund IV, L.P. Disclosed balance after: 33,030 F1 · date: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F1 · kind: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · kind: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · shares: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · shares: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · acquired: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · acquired: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · balance_after: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · balance_after: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F4 · balance_after: Includes 30,000 shares of Series B-1 Preferred Stock purchased by ASSF IV on May 20, 2019 pursuant to the Equity Commitment Agreement, dated as of May 14, 2019. Such shares of Series B-1 Preferred Stock were unintentionally omitted from the Form 3 filed by the Reporting Persons on November 22, 2019 (the "Form 3"), and are being reported for the first time in this Form 4. See remarks. F1 · ownership.nature: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · ownership.nature: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F4 · ownership.nature: Includes 30,000 shares of Series B-1 Preferred Stock purchased by ASSF IV on May 20, 2019 pursuant to the Equity Commitment Agreement, dated as of May 14, 2019. Such shares of Series B-1 Preferred Stock were unintentionally omitted from the Form 3 filed by the Reporting Persons on November 22, 2019 (the "Form 3"), and are being reported for the first time in this Form 4. See remarks. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
February 09, 2021 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries B-1 Preferred Stock, par value $0.0001 per share	16,970	$1,000.00	$16,970,000.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 3 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By ASOF Holdings I, L.P. Disclosed balance after: 16,970 F1 · date: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F1 · kind: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · kind: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · shares: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · shares: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · acquired: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · acquired: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · balance_after: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · balance_after: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · ownership.nature: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · ownership.nature: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
February 09, 2021 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries A Preferred Stock, par value $0.0001 per share	2,649	$1,000.00	$2,649,000.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 2 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Ares Special Situations Fund IV, L.P. Disclosed balance after: 2,649 F1 · date: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F1 · kind: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · kind: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · shares: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · shares: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · acquired: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · acquired: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · balance_after: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · balance_after: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F1 · ownership.nature: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F3 · ownership.nature: Pursuant to the SPA, ASSF IV purchased (i) 2,649 shares of Series A Preferred Stock, (ii) 3,030 shares of Series B-1 Preferred Stock and (iii) 2,898 shares of Series B-3 Preferred Stock. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
February 09, 2021 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries A Preferred Stock, par value $0.0001 per share	14,833.5	$1,000.00	$14,833,500.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By ASOF Holdings I, L.P. Disclosed balance after: 14,833.5 F1 · date: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F1 · kind: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · kind: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · shares: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · shares: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · acquired: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · acquired: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · balance_after: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · balance_after: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F1 · ownership.nature: On February 3, 2021, Ares Special Situations Fund IV, L.P. ("ASSF IV") and ASOF Holdings I, L.P. ("ASOF" and, together with ASSF IV, the "Ares Purchasers"), entered into a stock purchase agreement (the "SPA") with Infrastructure and Energy Alternatives, LLC ("IEA LLC") and OT POF IEA Preferred B Aggregator, L.P. ("OT POF IEA" and, together with IEA LLC, the "Oaktree Sellers"). Following satisfaction of the conditions contemplated by the SPA, on February 9, 2021, the Ares Purchasers purchased (i) 17,482.50 shares of the Issuer's Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), (ii) 20,000 shares of the Issuer's Series B-1 Preferred Stock, par value $0.0001 per share (the "Series B-1 Preferred Stock") and (iii) 19,123.87 shares of the Issuer's Series B-3 Preferred Stock, par value $0.0001 per share (the "Series B-3 Preferred Stock") from the Oaktree Sellers for an aggregate purchase price of $65,975,235.58. F2 · ownership.nature: Pursuant to the SPA, ASOF purchased (i) 14,833.5 shares of Series A Preferred Stock, (ii) 16,970 shares of Series B-1 Preferred Stock and (iii) 16,225.87 shares of Series B-3 Preferred Stock. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
August 30, 2019 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries B-2 Preferred Stock, par value $0.0001 per share	25,000	$1,000.00	$25,000,000.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 6 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Ares Special Situations Fund IV, L.P. Disclosed balance after: 25,000 F5 · date: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · kind: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · shares: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · acquired: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · balance_after: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · ownership.nature: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
August 30, 2019 Filed Feb 11, 2021 23:56 UTC	Infrastructure & Energy Alternatives, Inc. IEA · Entity 123160	PurchaseSeries B-2 Preferred Stock, par value $0.0001 per share	25,000	$1,000.00	$25,000,000.00	Disclosure SEC source: 0001104659-21-020910 · a4.xml · nonDerivative · entry 5 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Special Situations Fund IV, L.P. · CIK 0001611813 · Director · 10% owner ASSF Operating Manager IV, L.P. · CIK 0001683967 · Director · 10% owner ASOF Holdings I, L.P. · CIK 0001793549 · Director · 10% owner ASOF Investment Management LLC · CIK 0001793548 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By ASOF Holdings I, L.P. Disclosed balance after: 25,000 F5 · date: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · kind: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · shares: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · acquired: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · balance_after: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F5 · ownership.nature: On August 13, 2019, ASSF IV and ASOF entered into an Equity Commitment Agreement, as amended on August 30, 2019 (the "August 2019 ECA"), pursuant to which each of ASSF IV and ASOF each purchased (i) 25,000 shares of the Issuer's Series B-2 Preferred Stock, par value $0.0001 per share (the "Series B-2 Preferred Stock") and (ii) as previously reported by the Reporting Persons on the Form 3, warrants to purchase 450,000 shares of the Issuer's common stock. The shares of Series B-2 Preferred Stock acquired by the Ares Purchasers on August 30, 2019 pursuant to the August 2019 ECA were unintentionally omitted from the Form 3 and are being reported for the first time in this Form 4. See remarks. F8 · ownership.nature: The manager of ASSF IV is ASSF Operating Manager IV, L.P. ("ASSF Operating Manager IV"), and the general partner of ASSF Operating Manager IV is Ares Management LLC. The manager of ASOF is ASOF Investment Management LLC ("ASOF Investment Management"), and the sole member of ASOF Investment Management is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). (continued in footnote 9) F9 · ownership.nature: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). (continued in footnote 10) F10 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Reporting Persons and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Reporting Person is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.