0001297011-16-000004.txt : 20161005 0001297011-16-000004.hdr.sgml : 20161005 20161005174153 ACCESSION NUMBER: 0001297011-16-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161003 FILED AS OF DATE: 20161005 DATE AS OF CHANGE: 20161005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IES Holdings, Inc. CENTRAL INDEX KEY: 0001048268 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL WORK [1731] IRS NUMBER: 760542208 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 5433 WESTHEIMER STREET 2: SUITE 500 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7138601500 MAIL ADDRESS: STREET 1: 5433 WESTHEIMER STREET 2: SUITE 500 CITY: HOUSTON STATE: TX ZIP: 77056 FORMER COMPANY: FORMER CONFORMED NAME: Integrated Electrical Services, Inc. DATE OF NAME CHANGE: 20150106 FORMER COMPANY: FORMER CONFORMED NAME: INTEGRATED ELECTRICAL SERVICES INC DATE OF NAME CHANGE: 19971022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dowling Joseph L III CENTRAL INDEX KEY: 0001297011 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 161923435 MAIL ADDRESS: STREET 1: 5433 WESTHEIMER, SUITE 500 CITY: HOUSTON STATE: TX ZIP: 77056 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-10-03 0 0001048268 IES Holdings, Inc. IESC 0001297011 Dowling Joseph L III 5433 WESTHEIMER, SUITE 500 HOUSTON TX 77056 1 0 0 0 Common Stock 2016-10-03 4 A 0 562 0 A 41530 D Common Stock 2016-10-03 4 J 0 2106 0 A 43636 D Represents Phantom Stock Units granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Dowling 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 Holdings, Inc. common stock when Mr. Dowling leaves the board of directors for any reason. Represents shares of common stock of IES Holdings, Inc. (the Company) received by Mr. Dowling as a result of an in-kind, pro rata distribution of IES Holdings, Inc. common stock by an investment fund to all of its investors, including Mr. Dowling. The investment fund is affiliated with Tontine Capital Partners, L.P., which, together with its affiliates, is the majority shareholder of the Company. /s/Gail D. Makode, Attorney-in-Fact 2016-10-05