SEC Form 3 · accession 0001676188-16-000001

IES Holdings, Inc. · IESC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

Explanation of responses

• F1Includes 900 shares of restricted stock granted on May 12, 2006 pursuant to the 2006 Equity Incentive Plan of IES Holdings, Inc. (formerly known as Integrated Electrical Services, Inc.) (the "Company"), as amended on October 9, 2007 (the "Plan"), which vested in full on September 15, 2006; includes 208 shares of the Company's common stock reclassified in 2008 by the Company in connection with the Company's 2006 reorganization; includes 8,000 shares of restricted stock granted pursuant to the Plan on September 28, 2010, which vested in full on September 28, 2012; includes 10,000 shares of restricted stock granted pursuant to the Plan on December 16, 2010, of which 3,334 shares vested on each of December 16, 2011 and December 16, 2012 and 3,332 shares vested on December 16, 2013, and of which 1,762 shares were forfeited to satiafy tax withholding obligations.
• F2Includes 3,926 shares of the Company's common stock issued upon exercise of subscription rights in connection with the Company's 2014 rights offering; includes 12,500 shares of restricted stock granted on April 1, 2015 pursuant to the Plan, which will vest on April 1, 2018; and includes 6,161 shares of the Company's common stock acquired in open market purchases.
• F3The date indicated is the vesting date on the second anniversary of the grant date.
• F4The price reported in Column 4 reflects the exercise price at which the stock options were granted to the employee pursuant to the Plan.