SEC Form 4 · accession 0001408176-17-000005
IES Holdings, Inc. · IESC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tracy McLauchlin
Officer — SVP, CFO & Treasurer
Period of report
May 22, 2017
Accepted (ET)
May 23, 2017 · 7:08 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 | May 22, 2017 | M | 1,500 | $7.21 | A | 27,441 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4,F3 | $7.21 | May 22, 2017 | M | 1,500 | D | Feb 2, 2017 | Feb 2, 2025 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1Represents common stock received from the exercise of stock options granted pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).
- F2All tax withholdings resulting from the exercise of the stock options described herein were paid in cash.
- F3The date indicated is the vesting date for the stock options.
- F4The price reported in Column 8 reflects that the stock options were granted to the employee pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).