SEC Form 4 · accession 0001048268-16-000037

IES Holdings, Inc. · IESC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President

Period of report

Mar 4, 2016

Accepted (ET)

Mar 8, 2016 · 6:17 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001048268

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Mar 4, 2016	M	1,700	$3.24	A	88,583	D
Common Stock^F2	Mar 4, 2016	S	1,700	$14.02	D	86,883	D
Common Stock^F1	Mar 7, 2016	M	8,300	$3.24	A	95,183	D
Common Stock^F1	Mar 7, 2016	M	400	$5.76	A	95,583	D
Common Stock^F2	Mar 7, 2016	S	8,700	$13.02	D	86,883	D
Common Stock^F1	Mar 8, 2016	M	4,600	$5.76	A	91,483	D
Common Stock^F2	Mar 8, 2016	S	4,600	$13.36	D	86,883	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4,F3	$3.24	Mar 4, 2016	M	1,700	D	Jul 20, 2012	Jul 20, 2021	Common Stock	1,700	8,300	D
Stock Option (Right to Buy)^F4,F3	$3.24	Mar 7, 2016	M	8,300	D	Jul 20, 2012	Jul 20, 2021	Common Stock	8,300	0	D
Stock Option (Right to Buy)^F4,F3	$5.76	Mar 7, 2016	M	400	D	May 1, 2013	May 1, 2023	Common Stock	400	27,600	D
Stock Option (Right to Buy)^F4,F3	$5.76	Mar 8, 2016	M	4,600	D	May 1, 2013	May 1, 2023	Common Stock	4,600	23,000	D

F1Represents common stock received from the exercise of stock options granted pursuant to the Integrated Electrical Services, Inc. 2006 Equity Incentive Plan (as amended and restated).
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.06, inclusive for transactions on 3/4/2016, $13.00 to $13.12, inclusive for transactions on 3/7/2016 and $13.26 to $13.57, inclusive for transactions on 3/8/2016. The reporting person undertakes to provide to IES, any security holder of IES, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F3The date indicated is the first vesting date for all Column 6 transactions. All options traded on 3/4/2016 and 3/7/2016 with an exercise price of $3.24 vested in three annual installments beginning on the first anniversary of the grant date. All options traded on 3/7/2016 and 3/8/2016 with an exercise price of $5.76 vested on the second anniversary of the grant date.
F4The price reported in Column 8 reflects that the stock options were granted to the employee pursuant to the Integrated Electrical Services, Inc. 2006 Equity Incentive Plan (as amended and restated).