SEC Info - Gendell Jeffrey L et al, et al. - ‘4’ for 3/7/24 re: IES Holdings, Inc.

Ownership Document

Schema Version: X0508

Document Type: 4

Period of Report: 3/7/24

Not Subject to Section 16: 0

Issuer:

Issuer CIK: 1048268

Issuer Name: IES Holdings, Inc.

Issuer Trading Symbol: IESC

Reporting Owner:

Reporting Owner ID:

Owner CIK: 948904

Owner Name: GENDELL JEFFREY L ET AL

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? Yes

Is Officer? Yes

Is Ten Percent Owner? Yes

Is Other? No

Officer Title: Chief Executive Officer

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1276922

Owner Name: TONTINE CAPITAL PARTNERS L P

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? No

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1272374

Owner Name: TONTINE CAPITAL MANAGEMENT LLC

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? No

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1268959

Owner Name: TONTINE MANAGEMENT LLC

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? No

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1482608

Owner Name: TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P.

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? No

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1482609

Owner Name: TONTINE ASSET ASSOCIATES, L.L.C.

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? No

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1491514

Owner Name: Tontine Associates, LLC

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? No

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1409490

Owner Name: Tontine Capital Overseas GP, LLC

Reporting Owner Address:

Owner Street 1: 1 SOUND SHORE DRIVE

Owner Street 2:

Owner City: GREENWICH

Owner State: CT

Owner ZIP Code: 06830

Owner State Description:

Reporting Owner Relationship:

Is Director? No

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Aff 10b5 One: 0

Non-Derivative Table:

Non-Derivative Transaction:

Security Title:

Value: Common Stock, par value $0.01 per share

Transaction Date:

Value: 3/7/24

Transaction Coding:

Transaction Form Type: 4

Transaction Code: F

Equity Swap Involved? No

Transaction Amounts:

Transaction Shares:

Value: 11,590

Footnote ID: F1

Transaction Price Per Share:

Value: 115.14

Transaction Acquired-Disposed Code:

Value: D

Post-Transaction Amounts:

Shares Owned Following Transaction:

Value: 11,409,845

Ownership Nature:

Direct or Indirect Ownership:

Value: I

Nature of Ownership:

Value: See Footnotes

Footnote ID: F2

Footnote ID: F3

Footnote ID: F4

Footnote ID: F5

Footnote ID: F6

Derivative Table:

Footnotes:

Footnote - F1: Represents shares of Common Stock withheld to satisfy the withholding tax obligation resulting from the vesting of the first tranche of the Phantom Stock Units ("PSUs") granted to Mr. Gendell on December 1, 2021 pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan").

Footnote - F2: 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.

Footnote - F3: 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 1,460,506 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 149,802 shares of Common Stock and 46,528 PSUs granted to him pursuant to the 2006 Equity Incentive Plan, and Mr. Gendell's adult children own 3,363 shares of Common Stock through trusts for which Mr. Gendell acts as trustee.

Footnote - F4: 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.

Footnote - F5: 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.

Footnote - F6: 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.

Remarks:

Owner Signature:

Signature Name: Tontine Capital Partners, L.P., By: its General Partner, Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell

Signature Date: 3/8/24

Owner Signature:

Signature Name: Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell

Signature Date: 3/8/24

Owner Signature:

Signature Name: Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell

Signature Date: 3/8/24

Owner Signature:

Signature Name: 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

Signature Date: 3/8/24

Owner Signature:

Signature Name: Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell

Signature Date: 3/8/24

Owner Signature:

Signature Name: Tontine Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell

Signature Date: 3/8/24

Owner Signature:

Signature Name: Tontine Capital Overseas GP, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell

Signature Date: 3/8/24

Owner Signature:

Signature Name: /s/ Jeffrey L. Gendell

Signature Date: 3/8/24

Gendell Jeffrey L et al, et al. – ‘4’ for 3/7/24 re: IES Holdings, Inc.

On: Friday, 3/8/24, at 5:26pm ET · For: 3/7/24 · As: Director, Officer and 10% Owner · Accession #: 1048268-24-47 · File #: 1-13783

Previous ‘4’: ‘4’ on 2/14/24 for 2/12/24 · Latest ‘4’: This Filing

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34

Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

Gendell Jeffrey L et al, et al. – ‘4’ for 3/7/24 re: IES Holdings, Inc.

On: Friday, 3/8/24, at 5:26pm ET · For: 3/7/24 · As: Director, Officer and 10% Owner · Accession #: 1048268-24-47 · File #: 1-13783

Previous ‘4’: ‘4’ on 2/14/24 for 2/12/24 · Latest ‘4’: This Filing

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34

Filing Table of Contents