Filing Details
- Accession Number:
- 0001048268-21-000102
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-09 17:19:25
- Reporting Period:
- 2021-06-07
- Accepted Time:
- 2021-06-09 17:19:25
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1048268 | Ies Holdings Inc. | IESC | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
948904 | Al Et L Jeffrey Gendell | 1 Sound Shore Drive Greenwich CT 06830 | Chief Executive Officer | Yes | Yes | Yes | No |
1268959 | Tontine Management Llc | 1 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No | |
1272374 | Tontine Capital Management Llc | 1 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No | |
1276922 | P L Partners Capital Tontine | 1 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No | |
1409490 | Tontine Capital Overseas Gp, Llc | 1 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No | |
1482608 | Tontine Capital Overseas Master Fund Ii, L.p. | 1 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No | |
1482609 | Tontine Asset Associates, L.l.c. | 1 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No | |
1491514 | Tontine Associates, Llc | 1 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.01 Per Share | Disposition | 2021-06-07 | 9,398 | $55.18 | 11,590,263 | No | 4 | S | Indirect | See Footnotes |
Common Stock, Par Value $0.01 Per Share | Disposition | 2021-06-08 | 5,000 | $55.40 | 11,585,263 | No | 4 | S | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See Footnotes |
No | 4 | S | Indirect | See Footnotes |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by TCP 2 (as defined herein) on February 16, 2021.
- On June 7, 2021, TCP 2 sold 9,398 shares of Common Stock at a weighted average price of $55.18 per share. These shares were sold in multiple transactions at prices ranging from $55.03 to $55.31, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- This report is filed jointly by Tontine Capital Partners, L.P., a Delaware limited partnership ("TCP"), Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Capital Overseas Master Fund II, L.P., a Delaware limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA"), Tontine Associates, L.L.C., a Delaware limited liability company ("TA"), Tontine Capital Overseas GP, L.L.C., a Delaware limited liability company ("TCO"), and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP; (b) TM; (c) TAA, the general partner of TCP 2; (d) TA; and (e) TCO.
- TCP directly owns 5,642,723 shares of Common Stock, TCM directly owns 1,910,529 shares of Common Stock, TM directly owns 1,410,162 shares of Common Stock, TCP 2 directly owns 1,671,393 shares of Common Stock, TAA directly owns 96,891 shares of Common Stock, TA directly owns 642,057 shares of Common Stock, TCO directly owns 47,284 shares of Common Stock, Mr. Gendell directly owns 85,165 shares of Common Stock and 75,696 phantom stock units granted to him pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated, and Mr. Gendell's adult children own 3,363 shares of Common Stock through trusts for which Mr. Gendell acts as trustee.
- All of the foregoing securities may be deemed to be beneficially owned by Mr. Gendell. The foregoing securities held by TCP may be deemed to be beneficially owned by TCM. The foregoing securities held by TCP 2 may be deemed to be beneficially owned by TAA.
- Mr. Gendell disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by Mr. Gendell or representing Mr. Gendell's pro rata interest in, and interest in the profits of, TCM, TCP, TM, TCP 2, TAA, TA and TCO. TCM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCM or representing TCM's pro rata interest in, and interest in the profits of, TCP.
- TAA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TAA or representing TAA's pro rata interest in, and interest in the profits of, TCP 2. TA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TA. TM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TM. TCO disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCO.
- On June 8, 2021, TCP 2 sold 5,000 shares of Common Stock at a weighted average price of $55.40 per share. These shares were sold in multiple transactions at prices ranging from $55.05 to $55.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.