SEC Form 4 · accession 0001540463-16-000003
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
Dec 13, 2016
Accepted (ET)
Dec 15, 2016 · 8:03 pm EST
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 | Dec 13, 2016 | M | 13,000 | $5.76 | A | 97,604 | D | |
| Common StockF2 | Dec 13, 2016 | S | 13,000 | $22.03 | 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 | Dec 13, 2016 | M | 13,000 | D | May 1, 2015 | May 1, 2023 | Common Stock | 13,000 | 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 price reported in Column 4 is a weighted price for shares sold in multiple transactions at prices ranging from $21.55 to $22.95 inclusive. The reporting person undertakes to provide 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.
- 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).