SEC Form 4 · accession 0001540463-16-000002
IES Holdings, Inc. · IESC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W. Lewey
Officer — Director & President · Director
Period of report
Aug 29, 2016
Accepted (ET)
Aug 31, 2016 · 5:38 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 | Aug 29, 2016 | M | 5,000 | $5.76 | A | 89,604 | D | |
| Common StockF2 | Aug 29, 2016 | S | 5,000 | $17.00 | D | 84,604 | 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 | $5.76 | Aug 29, 2016 | M | 5,000 | D | May 1, 2015 | May 1, 2023 | Common Stock | 5,000 | 13,000 | D |
Explanation of responses
- F1Represents common stock received from the exercise of stock options granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 2006 Equity Incentive Plan (as amended and restated through October 2007).
- F2These shares were sold in a single transaction. The 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 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 Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 2006 Equity Incentive Plan (as amended and restated through October 2007).