IESC

SEC source: 0001228770-20-000005 · wf-form4_159917087707907.xml · nonDerivative · entry 2

MATTHEWS GARY S · CIK 0001228770 · Former CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,819

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.40 to $29.51, 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 sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001228770-20-000005 · wf-form4_159917087707907.xml · nonDerivative · entry 1

MATTHEWS GARY S · CIK 0001228770 · Former CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,605

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.20 to $29.52, 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: 0001228770-20-000003 · wf-form4_159891163563110.xml · nonDerivative · entry 6

MATTHEWS GARY S · CIK 0001228770 · Former CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,605

SEC source: 0001228770-20-000003 · wf-form4_159891163563110.xml · nonDerivative · entry 1

MATTHEWS GARY S · CIK 0001228770 · Former CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,688

F1 · balance_after: This total reflects the effect of exempt transactions that have occurred since the date of the Reporting Person's last Form 4.

SEC source: 0000899243-20-018285 · doc4.xml · nonDerivative · entry 1

GENDELL JEFFREY L ET AL · CIK 0000948904 · Director · 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: 11,582,579

F2 · shares: Represents shares of Common Stock granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Gendell electing to receive common stock as director compensation in lieu of cash or phantom stock units ("PSUs") for his retainer.

F1 · 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 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.

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 1,708,893 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 66,893 shares of Common Stock and 9,029 PSUs, and Mr. Gendell's children own 48,118 shares of Common Stock.

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: 0001408176-20-000003 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,584

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Luke 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. Luke leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0001495394-20-000002 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,750

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0001408176-20-000002 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,700

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0001297011-20-000005 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,338

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Dowling 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. Dowling leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0001297011-20-000004 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,570

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0001104659-20-077517 · a4.xml · nonDerivative · entry 1

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

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

TONTINE CAPITAL MANAGEMENT LLC · CIK 0001272374 · Director · 10% owner

TONTINE MANAGEMENT LLC · CIK 0001268959 · Director · 10% owner

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

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

Tontine Associates, LLC · CIK 0001491514 · Director · 10% owner

Tontine Capital Overseas GP, LLC · CIK 0001409490 · Director · 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: 11,581,015

F2 · kind: On June 24, 2020, TCP 2 distributed 492,103 shares of Common Stock to certain of its investors that are not directly or indirectly controlled by Mr. Gendell in connection with the redemption of ownership interests in TCP 2 held by those investors.

F2 · shares: On June 24, 2020, TCP 2 distributed 492,103 shares of Common Stock to certain of its investors that are not directly or indirectly controlled by Mr. Gendell in connection with the redemption of ownership interests in TCP 2 held by those investors.

F2 · price: On June 24, 2020, TCP 2 distributed 492,103 shares of Common Stock to certain of its investors that are not directly or indirectly controlled by Mr. Gendell in connection with the redemption of ownership interests in TCP 2 held by those investors.

F2 · acquired: On June 24, 2020, TCP 2 distributed 492,103 shares of Common Stock to certain of its investors that are not directly or indirectly controlled by Mr. Gendell in connection with the redemption of ownership interests in TCP 2 held by those investors.

F1 · 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 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.

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 1,708,893 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 65,329 shares of Common Stock and 9,029 phantom stock units, and Mr. Gendell's children own 48,118 shares of Common Stock.

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: 0001297011-20-000003 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,556

F1 · shares: Represents shares of common stock of IES Holdings, Inc. received by Mr. Dowling as a result of a distribution of IES Holdings, Inc. common stock by an investment fund to certain of its investors, including Mr. Dowling, in connection with the redemption of ownership interests in the investment fund held by those investors. The investment fund, together with its affiliates, is the majority shareholder of IES Holdings, Inc.

SEC source: 0001456922-20-000002 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,748

SEC source: 0001456922-20-000001 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,430

SEC source: 0000899243-20-013077 · doc4.xml · nonDerivative · entry 2

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,878

SEC source: 0000899243-20-013080 · doc4.xml · nonDerivative · entry 2

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,878

SEC source: 0000899243-20-013077 · doc4.xml · nonDerivative · entry 1

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in IRA

Disclosed balance after: 5,106

SEC source: 0000899243-20-013080 · doc4.xml · nonDerivative · entry 1

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in IRA

Disclosed balance after: 5,106

SEC source: 0000899243-20-010130 · doc4.xml · nonDerivative · entry 1

GENDELL JEFFREY L ET AL · CIK 0000948904 · Director · 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: 12,073,118

F2 · shares: Represents shares of Common Stock granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Gendell electing to receive common stock as director compensation in lieu of cash or phantom stock units ("PSUs") for his retainer.

F1 · 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 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.

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 2,200,996 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 65,329 shares of Common Stock and 9,029 PSUs, and Mr. Gendell's children own 48,118 shares of Common Stock.

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: 0001228770-20-000001 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,259

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Luke 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. Luke leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0001495394-20-000001 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,833

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0001408176-20-000001 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,918

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0001297011-20-000002 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,943

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Dowling 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. Dowling leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0001297011-20-000001 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,721

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0000899243-20-008869 · doc4.xml · nonDerivative · entry 5

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by wife

Disclosed balance after: 2,350

SEC source: 0000899243-20-008869 · doc4.xml · nonDerivative · entry 4

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by wife

Disclosed balance after: 1,850

SEC source: 0000899243-20-008058 · doc4.xml · nonDerivative · entry 6

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by LM 2020 Trust

Disclosed balance after: 650

SEC source: 0000899243-20-008058 · doc4.xml · nonDerivative · entry 5

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by wife

Disclosed balance after: 1,350

SEC source: 0000899243-20-008058 · doc4.xml · nonDerivative · entry 4

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by wife

Disclosed balance after: 2,000

SEC source: 0000899243-20-007742 · doc4.xml · nonDerivative · entry 4

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by wife

Disclosed balance after: 1,500

F1 · balance_after: 1,000 shares were previously inadvertently reported as being held in IRA in wife's name.

SEC source: 0000899243-20-006041 · doc4.xml · nonDerivative · entry 3

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in IRA in wife's name

Disclosed balance after: 1,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.29 to $24.80, 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 ranges set forth in this footnote.

SEC source: 0000899243-20-000552 · doc4.xml · nonDerivative · entry 2

GENDELL JEFFREY L ET AL · CIK 0000948904 · Director · 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: 12,071,065

F3 · shares: Represents shares of Common Stock granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Gendell electing to receive common stock as director compensation in lieu of cash or phantom stock units ("PSUs") for his retainer.

F1 · 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 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.

F4 · 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 2,200,996 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 63,276 shares of Common Stock and 9,029 PSUs, and Mr. Gendell's children own 48,118 shares of Common Stock.

F5 · 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.

F6 · 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.

F7 · 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: 0000899243-20-000552 · doc4.xml · nonDerivative · entry 1

GENDELL JEFFREY L ET AL · CIK 0000948904 · Director · 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: 12,069,653

F2 · kind: On January 2, 2020, TCP 2 distributed 137,652 shares of Common Stock to certain of its investors in connection with the redemption of ownership interests in TCP 2 held by those investors, including 112,590 shares of Common Stock that were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F2 · shares: On January 2, 2020, TCP 2 distributed 137,652 shares of Common Stock to certain of its investors in connection with the redemption of ownership interests in TCP 2 held by those investors, including 112,590 shares of Common Stock that were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F1 · 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 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.

F4 · 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 2,200,996 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 63,276 shares of Common Stock and 9,029 PSUs, and Mr. Gendell's children own 48,118 shares of Common Stock.

F5 · 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.

F6 · 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.

F7 · 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: 0000899243-20-000590 · doc4.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,892

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0000899243-20-000585 · doc4.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,162

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Luke 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. Luke leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0000899243-20-000570 · doc4.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,606

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0000899243-20-000575 · doc4.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,630

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0000899243-20-000561 · doc4.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,917

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Dowling 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. Dowling leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0000899243-19-029655 · doc4.xml · nonDerivative · entry 1

MATTHEWS GARY S · CIK 0001228770 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,878

F1 · security: Represents shares of restricted stock granted pursuant to the IES Holdings, Inc. Amended and Restated Long-Term Incentive Plan Annual Grant Program ("A&R LTIP"). The restricted stock will vest, if at all, in December 2022, subject to the achievement of specified levels of Cumulative Income (as defined in the A&R LTIP) for a three fiscal-year performance period commencing on October 1, 2019. The grant replaces a December 4, 2019 grant of an equal number of performance units.

SEC source: 0000899243-19-028800 · doc4.xml · nonDerivative · entry 2

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,766

F2 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Performance Units delivered pursuant to the 2006 Equity Incentive Plan.

SEC source: 0000899243-19-028800 · doc4.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,319

F1 · security: On February 6, 2019, Ms. McLauchlin was granted 41,667 performance units (the "Performance Units") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each Performance Unit represents a contractual right in respect of one share of the Issuer's common stock. The Performance Units vest, if at all, in three tranches upon the achievement of certain specified annual financial performance objectives and the continued performance of services through the applicable scheduled vesting date. On December 6, 2019, upon the filing of the Company's Annual Report on Form 10-K for its fiscal year ended September 30, 2019, the performance and service criteria for the first tranche of Performance Units was determined to have been fully met, resulting in vesting of 11,573 Performance Units under this award.

SEC source: 0000899243-19-024906 · doc4.xml · nonDerivative · entry 1

GENDELL JEFFREY L ET AL · CIK 0000948904 · Director · 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: 12,182,243

F2 · shares: Represents shares of Common Stock granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Gendell electing to receive common stock as director compensation in lieu of cash or phantom stock units ("PSUs") for his retainer.

F1 · 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 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.

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 2,338,648 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 36,802 shares of Common Stock and 9,029 PSUs, and Mr. Gendell's children own 48,118 shares of Common Stock.

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: 0000899243-19-024912 · doc4.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,802

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0000899243-19-024937 · doc4.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,407

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Luke 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. Luke leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0000899243-19-024930 · doc4.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,186

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0000899243-19-024911 · doc4.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,211

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "Equity Incentive Plan") upon Mr. Dowling 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. Dowling leaves the board of directors for any reason, or (ii) upon a change of control as defined in the Equity Incentive Plan.

SEC source: 0000899243-19-024909 · doc4.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,686

F1 · security: Represents Phantom Stock Units ("PSUs") granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan as amended and restated through February 2016 (the "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 Equity Incentive Plan.

SEC source: 0000899243-19-023578 · doc4.xml · derivative · entry 5

Makode Gail D · CIK 0001560811 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2025-01-14

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: 0000899243-19-023578 · doc4.xml · derivative · entry 4

Makode Gail D · CIK 0001560811 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2023-05-01

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: 0000899243-19-023578 · doc4.xml · nonDerivative · entry 3

Makode Gail D · CIK 0001560811 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,914

F2 · shares: Represents (i) 3,733 shares withheld to satisfy withholding tax liability resulting from the options exercise; and (ii) 5,661 shares withheld for payment of the exercise price of the shares underlying the stock options, each in accordance with the terms of the reporting person's award agreements under the Plan.