Accession Number: | 0001048268-22-000072 |
Date: | 2022-07-01 |
Issuer: | IES HOLDINGS, INC. (IESC) |
Original Submission Date: |
GENDELL DAVID B.
5433 WESTHEIMER ROAD, SUITE 500
HOUSTON, TX 77056
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2022-07-01 | A | 600 | a | $0.00 | 135,177 | direct | ||
COMMON STOCK | 2022-07-01 | 0 | $0.00 | 1,000 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | represents phantom stock units ("psus") granted pursuant to the ies holdings, inc. ("ies") 2006 equity incentive plan, as amended and restated (the "2006 equity incentive plan") upon mr. gendell electing to receive psus in lieu of common stock or cash for that portion of his retainer. each unit converts to one share of ies common stock when either (i) mr. gendell leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 equity incentive plan. |