IESC

SEC source: 0001048268-23-000104 · wk-form4_1702073439.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,079

F1 · shares: On December 7, 2020, Ms. McLauchlin was granted shares of time- and performance-based phantom stock units ("PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each PSU represented a contractual right in respect of one share of the Issuer's Common Stock and would vest, if at all, upon the achievement of certain specified annual financial performance objectives and the continued performance of services through the scheduled vesting date. On December 7, 2023, upon the filing of the Issuer's Annual Report on Form 10-K for its fiscal year ended September 30, 2023, the performance and service criteria were determined to have been met, resulting in the vesting of 9,089 PSUs under this award.

SEC source: 0001048268-23-000103 · wk-form4_1702073238.xml · nonDerivative · entry 3

Newman Mary K · CIK 0001858333 · VP, General Counsel & Corp Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,472.3

F3 · shares: On December 7, 2023, Ms. Newman was granted 1,403 time-based 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 and will vest upon the continued performance of services through the scheduled vesting date. The PSUs are scheduled to vest on the earlier of (i) December 15, 2026 and (ii) the date that the Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2026.

SEC source: 0001048268-23-000103 · wk-form4_1702073238.xml · nonDerivative · entry 2

Newman Mary K · CIK 0001858333 · VP, General Counsel & Corp Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,069.3

F2 · shares: Represents shares of Common Stock withheld to satisfy the tax obligation resulting from the vesting of the time- and performance-based PSUs granted to Ms. Newman on December 7, 2020 pursuant to the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000103 · wk-form4_1702073238.xml · nonDerivative · entry 1

Newman Mary K · CIK 0001858333 · VP, General Counsel & Corp Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,642.3

F1 · shares: On December 7, 2020, Ms. Newman was granted shares of performance-based phantom stock units ("PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each PSU represented a contractual right in respect of one share of the Issuer's Common Stock and would vest, if at all, upon the achievement of certain specified annual financial performance objectives and the continued performance of services through the scheduled vesting date. On December 7, 2023, upon the filing of the Issuer's Annual Report on Form 10-K for its fiscal year ended September 30, 2023, the performance and service criteria were determined to have been met, resulting in the vesting of 1,712 performance-based PSUs under this award.

SEC source: 0001048268-23-000111 · wk-form4a_1702420552.xml · nonDerivative · entry 2

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,377

F2 · shares: The original Form 4, filed on December 8, 2023, is being amended by this Form 4 amendment solely to correct an administrative error on the part of the company, which misreported the amount of PSUs in which the reporting person vested and the amount of shares withheld to satisfy the tax obligation resulting from the vesting event.

F3 · shares: Represents shares of Common Stock withheld to satisfy the tax obligation resulting from the vesting of the PSUs granted to Ms. McLauchlin on December 7, 2020 pursuant to the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000111 · wk-form4a_1702420552.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,880

F1 · shares: On December 7, 2020, Ms. McLauchlin was granted shares of time- and performance-based phantom stock units ("PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each PSU represented a contractual right in respect of one share of the Issuer's Common Stock and would vest, if at all, upon the achievement of certain specified annual financial performance objectives and the continued performance of services through the scheduled vesting date. On December 7, 2023, upon the filing of the Issuer's Annual Report on Form 10-K for its fiscal year ended September 30, 2023, the performance and service criteria were determined to have been met, resulting in the vesting of 8,903 PSUs under this award.

F2 · shares: The original Form 4, filed on December 8, 2023, is being amended by this Form 4 amendment solely to correct an administrative error on the part of the company, which misreported the amount of PSUs in which the reporting person vested and the amount of shares withheld to satisfy the tax obligation resulting from the vesting event.

SEC source: 0001048268-23-000109 · wk-form4a_1702420289.xml · nonDerivative · entry 2

Newman Mary K · CIK 0001858333 · VP, General Counsel & Corp Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,440.3

F2 · shares: The original Form 4, filed on December 8, 2023, is being amended by this Form 4 amendment solely to correct an administrative error on the part of the company, which misreported the amount of PSUs in which the reporting person vested and the amount of shares withheld to satisfy the tax obligation resulting from the vesting event.

F3 · shares: Represents shares of Common Stock withheld to satisfy the tax obligation resulting from the vesting of the time- and performance-based PSUs granted to Ms. Newman on December 7, 2020 pursuant to the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000109 · wk-form4a_1702420289.xml · nonDerivative · entry 1

Newman Mary K · CIK 0001858333 · VP, General Counsel & Corp Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,993.3

F1 · shares: On December 7, 2020, Ms. Newman was granted shares of performance-based phantom stock units ("PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each PSU represented a contractual right in respect of one share of the Issuer's Common Stock and would vest, if at all, upon the achievement of certain specified annual financial performance objectives and the continued performance of services through the scheduled vesting date. On December 7, 2023, upon the filing of the Issuer's Annual Report on Form 10-K for its fiscal year ended September 30, 2023, the performance and service criteria were determined to have been met, resulting in the vesting of 1,660 performance-based PSUs under this award.

F2 · shares: The original Form 4, filed on December 8, 2023, is being amended by this Form 4 amendment solely to correct an administrative error on the part of the company, which misreported the amount of PSUs in which the reporting person vested and the amount of shares withheld to satisfy the tax obligation resulting from the vesting event.

SEC source: 0001048268-23-000090 · wk-form4_1696454146.xml · nonDerivative · entry 1

LEYKUM ELIZABETH · CIK 0001560698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,275

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Leykum electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Leykum leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000089 · wk-form4_1696454004.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,383

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Koshkin electing to receive PSUs in lieu of cash or common stock for that portion of his retainer. Each unit converts to one share of IES common stock when either (i) Mr. Koshkin leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000088 · wk-form4_1696453872.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,355

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Gendell 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 common stock when either (i) Mr. Gendell leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000087 · wk-form4_1696453722.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,622

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Cleveland 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 common stock when either (i) Mr. Cleveland leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000086 · wk-form4_1696453571.xml · nonDerivative · entry 1

Baldock Jennifer A · CIK 0001281437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,228

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Baldock electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Baldock leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000080 · wk-form4_1694811768.xml · nonDerivative · entry 1

Newman Mary K · CIK 0001858333 · VP, General Counsel & Corp Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,930.3

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.71 to $70.07, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001048268-23-000070 · wk-form4_1688593963.xml · nonDerivative · entry 1

LEYKUM ELIZABETH · CIK 0001560698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,000

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Leykum electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Leykum leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000069 · wk-form4_1688593866.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,061

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Koshkin electing to receive PSUs in lieu of cash or common stock for that portion of his retainer. Each unit converts to one share of IES common stock when either (i) Mr. Koshkin leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000068 · wk-form4_1688593802.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,080

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Gendell 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 common stock when either (i) Mr. Gendell leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000067 · wk-form4_1688593643.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,305

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Cleveland 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 common stock when either (i) Mr. Cleveland leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000066 · wk-form4_1688593542.xml · nonDerivative · entry 1

Baldock Jennifer A · CIK 0001281437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,953

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Baldock electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Baldock leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000059 · wk-form4_1686955985.xml · nonDerivative · entry 1

Simmes Matthew J · CIK 0001899288 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,919

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.31 to $54.0142, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001048268-23-000054 · wk-form4_1686347179.xml · nonDerivative · entry 2

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,405.93

SEC source: 0001048268-23-000054 · wk-form4_1686347179.xml · nonDerivative · entry 1

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,505.93

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.03 to $53.005, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001048268-23-000052 · wk-form4_1686261458.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 66,990

F1 · shares: These sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.00 to $52.34, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001048268-23-000050 · wf-form4_168453007974280.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 71,990

F1 · shares: These sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.452, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001048268-23-000048 · wf-form4_168436443680107.xml · nonDerivative · entry 1

Simmes Matthew J · CIK 0001899288 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,919

F1 · shares: Represents shares of Common Stock withheld to satisfy the tax obligation resulting from the vesting of the time-based phantom stock units granted to Mr. Simmes on May 15, 2020 pursuant to the 2006 Equity Incentive Plan, as amended and restated.

SEC source: 0001048268-23-000046 · wf-form4_168436429008261.xml · nonDerivative · entry 2

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 76,990

F1 · shares: These sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.98 to $47.475, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001048268-23-000046 · wf-form4_168436429008261.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 77,498

F1 · shares: These sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.48 to $48.47, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001048268-23-000031 · wf-form4_168064505216437.xml · nonDerivative · entry 1

LEYKUM ELIZABETH · CIK 0001560698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,682

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Leykum electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Leykum leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000030 · wf-form4_168064490370870.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,688

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Koshkin electing to receive PSUs in lieu of cash or common stock for that portion of his retainer. Each unit converts to one share of IES common stock when either (i) Mr. Koshkin leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000029 · wf-form4_168064477738471.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,762

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Gendell 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 common stock when either (i) Mr. Gendell leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000028 · wf-form4_168064463416825.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,937

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Cleveland 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 common stock when either (i) Mr. Cleveland leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000027 · wf-form4_168064450854396.xml · nonDerivative · entry 1

Baldock Jennifer A · CIK 0001281437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,635

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Baldock electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Baldock leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000023 · wf-form4_167632849693349.xml · derivative · entry 3

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires 2025-02-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001048268-23-000023 · wf-form4_167632849693349.xml · nonDerivative · entry 2

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,626.93

SEC source: 0001048268-23-000023 · wf-form4_167632849693349.xml · nonDerivative · entry 1

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,626.93

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001048268-23-000022 · wf-form4_167606786715960.xml · derivative · entry 2

Simmes Matthew J · CIK 0001899288 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires 2025-02-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001048268-23-000022 · wf-form4_167606786715960.xml · nonDerivative · entry 1

Simmes Matthew J · CIK 0001899288 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,394

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001048268-23-000010 · wf-form4_167278567177913.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,452

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Cleveland 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 common stock when either (i) Mr. Cleveland leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000009 · wf-form4_167278558740892.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,195

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Koshkin electing to receive PSUs in lieu of cash or common stock for that portion of his retainer. Each unit converts to one share of IES common stock when either (i) Mr. Koshkin leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000008 · wf-form4_167278543187584.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,342

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Mr. Gendell 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 common stock when either (i) Mr. Gendell leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000007 · wf-form4_167278534859046.xml · nonDerivative · entry 1

Baldock Jennifer A · CIK 0001281437 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,215

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Baldock electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Baldock leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-23-000006 · wf-form4_167278522219604.xml · nonDerivative · entry 1

LEYKUM ELIZABETH · CIK 0001560698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,262

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan") upon Ms. Leykum electing to receive PSUs in lieu of cash or common stock for that portion of her retainer. Each unit converts to one share of IES common stock when either (i) Ms. Leykum leaves the board of directors for any reason, or (ii) upon a change of control as defined in the 2006 Equity Incentive Plan.

SEC source: 0001048268-22-000114 · wf-form4_167148854010932.xml · nonDerivative · entry 3

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in IRA

Disclosed balance after: 6,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $29.10 to $29.50, inclusive. The reporting person undertakes to provide IES, any security holder of IES, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001048268-22-000114 · wf-form4_167148854010932.xml · nonDerivative · entry 2

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in IRA

Disclosed balance after: 3,500

SEC source: 0001048268-22-000112 · wf-form4_167114261718269.xml · nonDerivative · entry 1

Simmes Matthew J · CIK 0001899288 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,394

SEC source: 0001048268-22-000114 · wf-form4_167148854010932.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in IRA

Disclosed balance after: 2,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $29.75 to $29.76, inclusive. The reporting person undertakes to provide IES Holdings, Inc. ("IES"), any security holder of IES, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001048268-22-000106 · wf-form4_167053730241952.xml · nonDerivative · entry 1

GENDELL JEFFREY L ET AL · CIK 0000948904 · Director · Chief Executive Officer · 10% owner

TONTINE CAPITAL PARTNERS L P · CIK 0001276922 · 10% owner

TONTINE CAPITAL MANAGEMENT LLC · CIK 0001272374 · 10% owner

TONTINE MANAGEMENT LLC · CIK 0001268959 · 10% owner

TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P. · CIK 0001482608 · 10% owner

TONTINE ASSET ASSOCIATES, L.L.C. · CIK 0001482609 · 10% owner

Tontine Associates, LLC · CIK 0001491514 · 10% owner

Tontine Capital Overseas GP, LLC · CIK 0001409490 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 11,617,301

F1 · shares: On December 6, 2022, Mr. Gendell was granted an award of Phantom Stock Units ("PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each PSU represents a contractual right in respect of one share of the Issuer's Common Stock. The 8,365 PSUs granted to Mr. Gendell on December 6, 2022 (the "Time-Based PSUs") will vest upon the continued performance of services through the scheduled vesting date. The Time-Based PSUs are scheduled to vest on the earlier of (i) December 15, 2025 and (ii) the date that the Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2025.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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 1,660,506 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 136,392 shares of Common Stock and 67,394 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.

F4 · ownership.nature: 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.

F5 · ownership.nature: 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.

F6 · ownership.nature: 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.

SEC source: 0001048268-22-000110 · wf-form4_167053803716583.xml · nonDerivative · entry 3

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,626.93

F3 · shares: On December 6, 2022, Ms. Petersen was granted 2,214 time-based Phantom Stock Units ("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 and will vest upon the continued performance of services through the scheduled vesting date. The PSUs are scheduled to vest on the earlier of (i) December 15, 2025 and (ii) the date that the Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2025.

SEC source: 0001048268-22-000110 · wf-form4_167053803716583.xml · nonDerivative · entry 2

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,412.93

F2 · shares: Represents shares of Common Stock withheld to satisfy the tax obligation resulting from the vesting of the performance and time-based phantom stock units granted to Ms. Petersen on December 4, 2019 pursuant to the 2006 Equity Incentive Plan.

SEC source: 0001048268-22-000110 · wf-form4_167053803716583.xml · nonDerivative · entry 1

Petersen Alison M · CIK 0001858314 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,648.93

F1 · shares: On December 4, 2019, Ms. Petersen was granted shares of performance based phantom stock units (the "Performance-Based Phantom Stock Units") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). The Performance-Based Phantom Stock Units vested, if at all, upon the achievement of certain specified annual financial performance objectives and the continued performance of services through the scheduled vesting date. On December 6, 2022, upon the filing of the Issuer's Annual Report on Form 10-K for its fiscal year ended September 30, 2022, the performance and service criteria were determined to have been met, resulting in the vesting of 863 Performance-Based Phantom Stock Units under this award.