0001104659-14-060538.txt : 20140813 0001104659-14-060538.hdr.sgml : 20140813 20140813203029 ACCESSION NUMBER: 0001104659-14-060538 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140807 FILED AS OF DATE: 20140813 DATE AS OF CHANGE: 20140813 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INTEGRATED ELECTRICAL SERVICES 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GENDELL JEFFREY L ET AL CENTRAL INDEX KEY: 0000948904 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039113 MAIL ADDRESS: STREET 2: 200 PARK AVENUE SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE MANAGEMENT LLC CENTRAL INDEX KEY: 0001268959 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039110 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE OVERSEAS ASSOCIATES LLC CENTRAL INDEX KEY: 0001268961 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039109 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001272374 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039112 MAIL ADDRESS: STREET 1: C/O TORTINE PARTNERS LP STREET 2: 55 RAILRAOD AVENUE 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE ASSET ASSOCIATES, L.L.C. CENTRAL INDEX KEY: 0001482609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039107 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-769-2000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P. CENTRAL INDEX KEY: 0001482608 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039108 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-769-2000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE PARTNERS L P CENTRAL INDEX KEY: 0001269122 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039111 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE CAPITAL PARTNERS L P CENTRAL INDEX KEY: 0001276922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 141039114 BUSINESS ADDRESS: STREET 1: C/O TONTINE CAPITAL MANAGEMENT LLC LP STREET 2: 55 RAILROAD AVENUE 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: C/O TONTINE CAPITAL MANAGEMENT LLC LP STREET 2: 55 RAILROAD AVENUE 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 4 1 a4.xml 4 X0306 4 2014-08-07 0 0001048268 INTEGRATED ELECTRICAL SERVICES INC IESC 0001276922 TONTINE CAPITAL PARTNERS L P 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0000948904 GENDELL JEFFREY L ET AL 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001272374 TONTINE CAPITAL MANAGEMENT LLC 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001269122 TONTINE PARTNERS L P 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001268959 TONTINE MANAGEMENT LLC 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001268961 TONTINE OVERSEAS ASSOCIATES LLC 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001482608 TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P. 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001482609 TONTINE ASSET ASSOCIATES, L.L.C. 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 Common Stock, $0.01 par value per share 2014-08-07 4 X 0 2576449 5.2 A 13363775 I See Footnotes Subscription Rights (right to buy) 5.2 2014-08-07 4 X 0 10787326 0 D 2014-07-07 2014-07-29 Common Stock 2314721 0 I See Footnotes 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 Partners, L.P., a Delaware limited partnership ("TP"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Overseas Associates, L.L.C., a Delaware limited liability company ("TOA"), Tontine Capital Overseas Master Fund II, L.P., a Cayman Islands limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA") and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP; (b) TM, the general partner of TP; (c) TOA; and (d) TAA, the general partner of TCP 2. Common stock issued upon exercise of subscription rights, including 261,728 shares of common stock acquired pursuant to over-subscription privileges related to the rights offering. See footnotes 3 and 4 below. Integrated Electrical Services, Inc. (the "Company") issued pro rata, at no charge, to the holders of shares of its common stock, as of 5:00 p.m., Eastern Time, on July 7, 2014, the record date for the rights offering, one non-transferable subscription right for each share of common stock owned on the record date. Each subscription right entitled the holder thereof to purchase 0.214578135 shares of the Company's common stock at a subscription price of $5.20 per share. Additionally, each holder who elected to purchase all of the shares of the Company's common stock available pursuant to its basic subscription rights was eligible to elect to subscribe for a portion of any shares of common stock that were not purchased by other stockholders, provided that the number of over-subscription shares each holder could elect to purchase could not exceed 100% of the number of shares of common stock that such holder subscribed for pursuant to its basic subscription rights. While the rights offering expired as of 5:00 p.m., Eastern Time, on July 29, 2014 (the "expiration time"), share allocations were not finalized until August 7, 2014, in light of compliance with guaranteed delivery procedures, allocations related to over-subscriptions and reductions contemplated by the terms of the rights offering. Subscription rights that were not exercised prior to the expiration time expired and were no longer exercisable as of such time. Includes 286 shares unintentionally omitted from previous Forms 4. TCM, TM and TAA directly own 0 shares of Common Stock, TCP directly owns 5,642,723 shares of Common Stock, TP directly owns 3,267,284 shares of Common Stock, TOA directly owns 591,443 shares of Common Stock, TCP 2 directly owns 3,852,167 shares of Common Stock and Mr. Gendell directly owns 10,158 shares of Common Stock. 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 TP may be deemed to be beneficially owned by TM. 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, TP, TM, TOA, TCP 2 and TAA. 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. 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 or representing TM's pro rata interest in, and interest in the profits of, TP. TOA 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 TOA. 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. Tontine Capital Partners, L.P., By: its General Partner, Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2014-08-13 Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2014-08-13 Tontine Partners, L.P., By: its General Partner, Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2014-08-13 Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2014-08-13 Tontine Overseas Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2014-08-13 Tontine Capital Overseas Master Fund II, L.P. By: its General Partner, Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2014-08-13 Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2014-08-13 /s/ Jeffrey L. Gendell 2014-08-13