SEC Form 4 · accession 0001048268-16-000042
IES Holdings, Inc. · IESC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gail D Makode
Officer — SVP, GC & Secretary
Period of report
Apr 18, 2016
Accepted (ET)
Apr 20, 2016 · 5:28 pm EDT
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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 18, 2016 | M | 8,547 | $5.76 | A | 44,439 | D | |
| Common StockF2,F3 | Apr 18, 2016 | S | 8,547 | $14.53 | D | 35,892 | D | |
| Common StockF1,F2 | Apr 19, 2016 | M | 3,953 | $5.76 | A | 39,845 | D | |
| Common StockF2 | Apr 19, 2016 | S | 3,953 | $14.50 | D | 35,892 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F5,F2,F4 | $5.76 | Apr 18, 2016 | M | 8,547 | D | May 1, 2013 | May 1, 2023 | Common Stock | 8,547 | 16,453 | D |
| Stock Option (Right to Buy)F5,F2,F4 | $5.76 | Apr 19, 2016 | M | 3,953 | D | May 1, 2013 | May 1, 2023 | Common Stock | 3,953 | 12,500 | D |
Explanation of responses
- 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 exercise of options and sale of shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in March 2016.
- F3The price reported in Column 4 for 4/18/2016 entry is a weighted average price for shares sold in multiple transactions at prices ranging from $14.50 to $14.64, inclusive. 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.
- F4The date indicated is the first vesting date for all Column 6 transactions. All options traded on 4/18/2016 and 4/19/2016, with an exercise price of $5.76, vested on the second anniversary of the grant date.
- F5The 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).