SEC Form 4 · accession 0001408176-17-000006
IES Holdings, Inc. · IESC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David B. Gendell
Director
Period of report
May 24, 2017
Accepted (ET)
May 24, 2017 · 6:20 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 | May 24, 2017 | M | 6,000 | $7.27 | A | 121,697 | 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)F3,F2 | $7.27 | May 24, 2017 | M | 6,000 | D | Jan 14, 2017 | Jan 14, 2025 | Common Stock | 6,000 | 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).
- F2The date indicated is the vesting date for the stock options.
- F3The price reported in Column 8 reflects that the stock options were granted to the reporting person pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).