SEC Form 4 · accession 0001104659-15-065862
IES Holdings, Inc. · IESC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Jeffrey L Et Al Gendell
10% Owner
TONTINE MANAGEMENT LLC
10% Owner
TONTINE OVERSEAS ASSOCIATES LLC
10% Owner
TONTINE PARTNERS L P
10% Owner
TONTINE CAPITAL MANAGEMENT LLC
10% Owner
TONTINE CAPITAL PARTNERS L P
10% Owner
TONTINE ASSET ASSOCIATES, L.L.C.
10% Owner
Period of report
Sep 15, 2015
Accepted (ET)
Sep 17, 2015 · 8:31 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 Stock, $0.01 par value per shareF2,F1,F4,F5,F6,F7 | Sep 15, 2015 | P | 7,785 | $6.71 | A | 13,371,560 | I | See Footnotes |
| Common Stock, $0.01 par value per shareF3,F1,F4,F5,F6,F7 | Sep 16, 2015 | P | 5,840 | $6.90 | A | 13,377,400 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This report is filed jointly by Tontine Capital Partners, L.P., a Delaware limited partnership ("TCP"), Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine Partners, L.P., a Delaware limited partnership ("TP"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Overseas Associates, L.L.C., a Delaware limited liability company ("TOA"), Tontine Capital Overseas Master Fund II, L.P., a Cayman Islands limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA") and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP; (b) TM, the general partner of TP; (c) TOA; and (d) TAA, the general partner of TCP 2.
- F2On September 15, 2015, TCP 2 purchased 7,785 shares of Common Stock at a weighted average price of $6.71 per share. These shares were purchased in multiple transactions at prices ranging from $6.70 to $6.95, 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 purchased at each separate price within the range set forth in this footnote.
- F3On September 16, 2015, TCP 2 purchased 5,840 shares of Common Stock at a weighted average price of $6.90 per share. These shares were purchased in multiple transactions, all at a price of $6.90. 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 purchased in each separate transaction.
- F4TCM, TM and TAA directly own 0 shares of Common Stock, TCP directly owns 5,642,723 shares of Common Stock, TP directly owns 3,267,284 shares of Common Stock, TOA directly owns 591,443 shares of Common Stock, TCP 2 directly owns 3,865,792 shares of Common Stock and Mr. Gendell directly owns 10,158 shares of Common Stock.
- F5All of the foregoing securities may be deemed to be beneficially owned by Mr. Gendell. The foregoing securities held by TCP may be deemed to be beneficially owned by TCM. The foregoing securities held by TP may be deemed to be beneficially owned by TM. The foregoing securities held by TCP 2 may be deemed to be beneficially owned by TAA.
- F6Mr. Gendell disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by Mr. Gendell or representing Mr. Gendell's pro rata interest in, and interest in the profits of, TCM, TCP, TP, TM, TOA, TCP 2 and TAA. TCM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCM or representing TCM's pro rata interest in, and interest in the profits of, TCP.
- F7TM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TM or representing TM's pro rata interest in, and interest in the profits of, TP. TOA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TOA. TAA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TAA or representing TAA's pro rata interest in, and interest in the profits of, TCP 2.