Initial Statement of Beneficial Ownership (3)
April 23 2021 - 06:19PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Newman Mary K |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/16/2021
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3. Issuer Name and Ticker or Trading Symbol
IES Holdings, Inc. [IESC]
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(Last)
(First)
(Middle)
5433 WESTHEIMER RD, SUITE 500 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) VP, General Counsel & Corp Sec / |
(Street)
HOUSTON, TX 77056
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 19972.30 (1)(2)(3) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On December 4, 2019, Ms. Newman was granted 9,335 shares of restricted stock (the "Sign-On Restricted Stock") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). The Sign-On Restricted Stock vests, if at all, in three tranches upon the continued performance of services through the applicable scheduled vesting date. The first tranche of 3,118 shares of the Sign-On Restricted Stock vested on December 1, 2020; the second tranche of 3,118 shares is scheduled to vest on December 1, 2021 and the third tranche of 3,119 shares is scheduled to vest on December 1, 2023. |
(2) | On December 4, 2019, Ms. Newman was granted 7,015 shares of time-based restricted stock (the "LTIP Restricted Stock") pursuant to the 2006 Equity Incentive Plan. The LTIP Restricted Stock vests, if at all, upon the continued performance of services through the applicable scheduled vesting date. The LTIP Restricted Stock is scheduled to vest on the earlier of December 15, 2022 and the date that Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2022. |
(3) | On December 7, 2020, Ms. Newman was granted 4,828.3 time-based phantom stock units (the "PSUs") pursuant to the 2006 Equity Incentive Plan. Each PSU represents a contractual right in respect of one share of the Issuer's common stock. The PSUs vest, if at all, upon the continued performance of services through the applicable scheduled vesting date. The PSUs are scheduled to vest on the earlier of December 15, 2023 and the date that Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Newman Mary K 5433 WESTHEIMER RD, SUITE 500 HOUSTON, TX 77056 |
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| VP, General Counsel & Corp Sec |
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Signatures
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/s/ Mary K. Newman | | 4/23/2021 |
**Signature of Reporting Person | Date |
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