0001104659-16-148933.txt : 20161005 0001104659-16-148933.hdr.sgml : 20161005 20161005170537 ACCESSION NUMBER: 0001104659-16-148933 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: Tontine Capital Overseas GP, LLC CENTRAL INDEX KEY: 0001409490 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 161923168 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 Associates, LLC CENTRAL INDEX KEY: 0001491514 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13783 FILM NUMBER: 161923169 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE 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: 161923170 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: 161923171 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 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: 161923172 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: 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: 161923175 MAIL ADDRESS: STREET 2: 200 PARK AVENUE SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 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: 161923174 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 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: 161923173 MAIL ADDRESS: STREET 1: C/O TORTINE PARTNERS LP STREET 2: 55 RAILRAOD AVENUE 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 4 1 a4.xml 4 X0306 4 2016-10-03 0 0001048268 IES Holdings, Inc. IESC 0000948904 GENDELL JEFFREY L ET AL 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001276922 TONTINE CAPITAL PARTNERS L P 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 0001268959 TONTINE MANAGEMENT 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 0001491514 Tontine Associates, LLC 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 0001409490 Tontine Capital Overseas GP, LLC 1 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 Common Stock, par value $0.01 per share 2016-10-03 4 J 0 894960 0 D 12436382 I See Footnotes Common Stock, par value $0.01 per share 2016-10-03 4 J 0 3105040 0 D 12436382 I See Footnotes Common Stock, par value $0.01 per share 2016-10-03 4 J 0 3105040 0 A 12436382 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 Management, L.L.C., a Delaware limited liability company ("TM"), 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"), 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. On October 3, 2016, TCP 2 distributed an aggregate of 4,000,000 shares of Common Stock on a pro-rata basis to all holders of ownership interests in TCP 2, of which 3,105,040 shares of Common Stock were distributed to investors that are directly or indirectly controlled by Mr. Gendell as follows: 96,891 shares of Common Stock to TAA, 979,257 shares of Common Stock to TM, 1,910,529 shares of Common Stock to TCM, 47,284 shares of Common Stock to TCO and 71,079 shares of Common Stock to Mr. Gendell and his children. The remaining 894,960 shares of Common distributed by TCP 2 were distributed to investors that are not directly or indirectly controlled by Mr. Gendell. 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 2,605,499 shares of Common Stock, TAA directly owns 96,891, TA directly owns 642,057 shares of Common Stock, TCO directly owns 47,284 shares of Common Stock, Mr. Gendell directly owns 33,119 shares of Common Stock and Mr. Gendell's children own 48,118 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 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. Tontine Capital Partners, L.P., By: its General Partner, Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2016-10-05 Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2016-10-05 Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2016-10-05 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 2016-10-05 Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2016-10-05 Tontine Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2016-10-05 Tontine Capital Overseas GP, L.L.C. By: its Managing Member /s/ Jeffrey L. Gendell 2016-10-05 /s/ Jeffrey L. Gendell 2016-10-05