0000950142-21-003864 3 2 20211122 20211202 20211202 BROOKFIELD ASSET MANAGEMENT INC. 0001001085 6512 A6 1231 3 34 001-37839 211466740 BROOKFIELD PLACE, 181 BAY ST, STE 300 PO BOX 762 TORONTO A6 M5J2T3 416-363-9491 BROOKFIELD PLACE, 181 BAY ST, STE 300 PO BOX 762 TORONTO A6 M5J2T3 BRASCAN CORP/ 20010321 EDPERBRASCAN CORP 19970904 BRASCAN LTD 19950919 OAKTREE FUND GP I, L.P. 0001402746 DE 1231 3 34 001-37839 211466746 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 (213) 830-6300 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 Oaktree Capital Group Holdings GP, LLC 0001403525 DE 1231 3 34 001-37839 211466741 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 (213) 830-6300 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 Oaktree Capital Group, LLC 0001403528 6282 DE 1231 3 34 001-37839 211466742 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 (213) 830-6300 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 Oaktree Capital I, L.P. 0001403530 DE 1231 3 34 001-37839 211466745 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 (213) 830-6300 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. 0001894389 DE 1231 3 34 001-37839 211466748 333 S. GRAND AVE. 28TH FLOOR LOS ANGELES CA 90071 213-830-6300 333 S. GRAND AVE. 28TH FLOOR LOS ANGELES CA 90071 OAKTREE HOLDINGS, LLC 0001407181 DE 1231 3 34 001-37839 211466743 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 (213) 830-6300 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 OCM HOLDINGS I, LLC 0001407178 DE 1231 3 34 001-37839 211466744 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 (213) 830-6300 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 OAKTREE HOLDINGS I, LLC 20070718 Oaktree Fund GP, LLC 0001499005 DE 1231 3 34 001-37839 211466747 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 (213) 830-6300 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 Opps TPIC Holdings, LLC 0001894383 DE 1231 3 34 001-37839 211466749 333 S. GRAND AVE. 28TH FLOOR LOS ANGELES CA 90071 213-830-6300 333 S. GRAND AVE. 28TH FLOOR LOS ANGELES CA 90071 TPI COMPOSITES, INC 0001455684 3510 201590775 1231 8501 N SCOTTSDALE ROAD GAINEY CENTER II, SUITE 100 SCOTTSDALE AZ 85253 480-305-8910 8501 N SCOTTSDALE ROAD GAINEY CENTER II, SUITE 100 SCOTTSDALE AZ 85253 TPI COMPOSITES INC 20090206 3 1 es210205463_3-othllc1.xml OWNERSHIP DOCUMENT FORM 3 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: Washington, D.C. 20549 3235-0104 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF Estimated SECURITIES average burden hours per response... 0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 1. Name and Address of Reporting 2. Date of Event 3. Issuer Name and Ticker or Trading Person * Requiring Symbol Opps TPIC Holdings, LLC Statement TPI COMPOSITES, INC [TPIC] (MM/DD/YYYY) 11/22/2021 (Last) (First) (Middle) 4. Relationship of Reporting Person(s) to Issuer (Check 333 SOUTH GRAND AVENUE, 28TH FLOOR all applicable) _____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below) (Street) 5. If Amendment, 6. Individual or Joint/Group LOS ANGELES, CA 90071 Date Original Filing(Check Applicable Line) (City) (State) (Zip) Filed(MM/DD/YYYY) ___ Form filed by One Reporting Person _X_ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Beneficially Owned 1.Title of Security 2. Amount of 3. 4. Nature of Indirect (Instr. 4) Securities Ownership Beneficial Ownership Beneficially Form: (Instr. 5) Owned Direct (Instr. 4) (D) or Indirect (I) (Instr. 5) Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivate Security 2. Date Exercisable and 3. Title and Amount of 4. 5. 6. Nature of Indirect (Instr. 4) Expiration Date Securities Underlying Conversion Ownership Beneficial Ownership (MM/DD/YYYY) Derivative Security or Form of (Instr. 5) (Instr. 4) Exercise Derivative Price of Security: Derivative Direct (D) Security or Indirect (I) Date Expiration Title Amount or (Instr. 5) Exercisable Date Number of Shares Warrants (right to buy) 11/22/2021 11/22/2026 Common 2835000 (1) $0.01 I See Stock Footnote (4) (5) Warrants (right to buy) 11/22/2021 11/22/2026 Common 1750000 (2) $0.01 I See Stock Footnote (4) (5) Warrants (right to buy) 11/22/2021 11/22/2026 Common 81667 (3) $0.01 I See Stock Footnote (4) (5) Explanation of Responses: (1) Consists of Warrants issued by the Company pursuant to the Series A Preferred Stock Purchase Agreement, dated November 8, 2021 (the "Warrants") directly beneficially owned by Opps TPIC Holdings, LLC ("Opps") exercisable for 2,835,000 shares of Common Stock at an exercise price of $0.01 per share. (2) Consists of Warrants directly beneficially owned by Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. ("Power V") exercisable for 1,750,000 shares of Common Stock at an exercise price of $0.01 per share. (3) Consists of Warrants directly beneficially owned by Oaktree Phoenix Investment Fund, L.P. ("Phoenix") exercisable for 81,667 shares of Common Stock at an exercise price of $0.01 per share. (4) This Form 3 is being filed jointly by (each, a "Reporting Person" and, collective, the "Reporting Persons") (i) TPIC, (ii) Power V, (iii) Oaktree Fund GP, LLC ("Fund GP"), as general partner of TPIC and Power V, (iv) Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, (v) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, (vi) OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I, (vii) Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, (viii) Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, (ix) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (x) Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of OCG, (xi) BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM and (xii) Phoenix. (5) Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 3. Remarks: Form 1 of 2 Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Opps TPIC Holdings, LLC 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 Oaktree Fund GP, LLC 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 OAKTREE FUND GP I, L.P. 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 Oaktree Capital I, L.P. 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 OCM HOLDINGS I, LLC 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 OAKTREE HOLDINGS, LLC 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 Oaktree Capital Group, LLC 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 Oaktree Capital Group Holdings GP, LLC 333 SOUTH GRAND AVENUE X 28TH FLOOR LOS ANGELES, CA 90071 BROOKFIELD ASSET MANAGEMENT INC. BROOKFIELD PLACE X 181 BAY STREET, SUITE 300 TORONTO, A6 M5J2T3 Signatures /s/ See Signatures Included in Exhibit 99.1 12/2/2021 ** Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. EX-99.1 2 es210205463_ex9901.htm EXHIBIT 99.1 EXHIBIT 99.1 This Statement on Form 3 is filed jointly by the Reporting Persons listed below. The principal business address of each of these Reporting Persons is 333 South Grand Avenue, 28th Floor, Los Angeles, California 90071. Name of Designated Filer: OPPS TPIC Holdings, LLC Date of Event Requiring Statement: November 22, 2021 Issuer Name and Ticker or Trading Symbol: TPIC OPPS TPIC Holdings, LLC By: Oaktree Fund GP, LLC Its: General Partner By: Oaktree Fund GP I, L.P. Its: Managing Member By: /s/ Henry Orren Name: Henry Orren Title: Senior Vice President OAKTREE POWER OPPORTUNITIES FUND V (DELAWARE) HOLDINGS, L.P. By: Oaktree Fund GP, LLC Its: General Partner By: Oaktree Fund GP I, L.P. Its: Managing Member By: /s/ Henry Orren Name: Henry Orren Title: Senior Vice President OAKTREE FUND GP, LLC By: Oaktree Fund GP I, L.P. Its: Managing Member By: /s/ Henry Orren Name: Henry Orren Title: Authorized Signatory OAKTREE FUND GP I, L.P. By: /s/ Henry Orren Name: Henry Orren Title: Authorized Signatory OAKTREE CAPITAL I, L.P. By: /s/ Henry Orren Name: Henry Orren Title: Senior Vice President OCM HOLDINGS I, LLC By: /s/ Henry Orren Name: Henry Orren Title: Senior Vice President OAKTREE HOLDINGS, LLC By: /s/ Henry Orren Name: Henry Orren Title: Senior Vice President OAKTREE CAPITAL GROUP, LLC By: /s/ Henry Orren Name: Henry Orren Title: Senior Vice President OAKTREE CAPITAL GROUP HOLDINGS GP, LLC By: /s/ Henry Orren Name: Henry Orren Title: Senior Vice President BROOKFIELD ASSET MANAGEMENT INC. By: /s/ Kathy Sarpash Name: Kathy Sarpash Title: Senior Vice President Legal & Regulatory