| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/06/2016 |
3. Issuer Name and Ticker or Trading Symbol
IES Holdings, Inc. [ IESC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 39,933(1)(2) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Options (Right to Buy) | 02/02/2017(3) | 02/02/2025 | Common Stock | 1,500 | 7.21(4) | D | |
| Explanation of Responses: |
| 1. Includes 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. |
| 2. Includes 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. |
| 3. The date indicated is the vesting date on the second anniversary of the grant date. |
| 4. The price reported in Column 4 reflects the exercise price at which the stock options were granted to the employee pursuant to the Plan. |
| /s/Gail D. Makode, Attorney-in-Fact | 06/16/2016 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||