IESC

SEC source: 0000899243-19-023578 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,308

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.

F1 · shares: Represents common stock received from the exercise of stock options granted pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated, the "Plan").

SEC source: 0000899243-19-023578 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,308

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.

F1 · shares: Represents common stock received from the exercise of stock options granted pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated, the "Plan").

SEC source: 0000899243-19-022555 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,476

SEC source: 0000899243-19-021852 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,976

SEC source: 0000899243-19-021852 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,976

SEC source: 0000899243-19-019127 · 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: 12,180,483

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 35,042 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: 0001408176-19-000004 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,467

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: 0001495394-19-000003 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,770

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: 0001408176-19-000002 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,539

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: 0001408176-19-000003 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,306

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: 0001297011-19-000008 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,331

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: 0000899243-19-015415 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.50 to $17.10, 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: 0000899243-19-013351 · 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: 4,106

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.91 to $18.00, 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: 0000899243-19-009573 · 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: 12,178,560

F3 · shares: Represents phantom stock units ("PSUs") 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 PSUs as director compensation in lieu of a cash or common stock retainer. Each PSU converts to one share of Common Stock when Mr. Gendell leaves the board of directors for any reason.

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 2,338,648 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 33,119 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: 0000899243-19-009573 · 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: 12,177,646

F2 · kind: On April 1, 2019, TCP 2 distributed 12,038 shares of Common Stock to 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 April 1, 2019, TCP 2 distributed 12,038 shares of Common Stock to 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 April 1, 2019, TCP 2 distributed 12,038 shares of Common Stock to 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 April 1, 2019, TCP 2 distributed 12,038 shares of Common Stock to 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.

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 2,338,648 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 33,119 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: 0001495394-19-000001 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,643

F1 · security: Represents Phantom Stock Units granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) 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 Mr. Koshkin leaves the board of directors for any reason.

SEC source: 0001495394-19-000002 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,440

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

SEC source: 0001408176-19-000001 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,345

F1 · security: Represents Phantom Stock Units 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 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 Mr. Gendell leaves the board of directors for any reason.

SEC source: 0001297011-19-000007 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,370

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

SEC source: 0001297011-19-000006 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,286

F1 · security: Represents Phantom Stock Units granted pursuant to the IES 2006 Equity Incentive Plan (as amended and restated through February 2016) 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 Mr. Cleveland leaves the board of directors for any reason.

SEC source: 0000899243-19-007618 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in IRA

Disclosed balance after: 2,906

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $18.28 to $18.35, 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: 0000899243-19-007618 · 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: 406

SEC source: 0000899243-19-006509 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

F1 · security: Represents shares of restricted stock granted pursuant to the IES Holdings, Inc. Amended and Restated 2006 Equity Incentive Plan, including (i) 80,000 shares that will vest ratably over four years beginning on March 4, 2020, (ii) 20,000 shares that will vest, if at all, on or prior to March 4, 2024, and (iii) 160,000 shares that will vest, if at all, in 40,000 share increments on or prior to March 4, 2024.

SEC source: 0000899243-19-000558 · 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: 12,189,684

F3 · shares: Represents phantom stock units ("PSUs") 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 PSUs as director compensation in lieu of a cash or common stock retainer. Each PSU converts to one share of Common Stock when Mr. Gendell leaves the board of directors for any reason.

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 2,350,686 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 33,119 shares of Common Stock and 8,115 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: 0000899243-19-000558 · 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: 12,188,639

F2 · kind: On January 2, 2019, TCP 2 distributed 218,732 shares of Common Stock to 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 January 2, 2019, TCP 2 distributed 218,732 shares of Common Stock to 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 January 2, 2019, TCP 2 distributed 218,732 shares of Common Stock to 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 January 2, 2019, TCP 2 distributed 218,732 shares of Common Stock to 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.

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 2,350,686 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 33,119 shares of Common Stock and 8,115 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: 0001297011-19-000005 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,142

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

SEC source: 0001297011-19-000004 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,309

F1 · security: Represents Phantom Stock Units granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) 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 Mr. Koshkin leaves the board of directors for any reason.

SEC source: 0001297011-19-000003 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,888

F1 · security: Represents Phantom Stock Units 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 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 Mr. Gendell leaves the board of directors for any reason.

SEC source: 0001297011-19-000002 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,829

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

SEC source: 0001297011-19-000001 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,012

F1 · security: Represents Phantom Stock Units granted pursuant to the IES 2006 Equity Incentive Plan (as amended and restated through February 2016) 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 Mr. Cleveland leaves the board of directors for any reason.

SEC source: 0001560811-18-000001 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,808

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: 0001560811-18-000001 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,656

F1 · security: On October 2, 2015, Ms. Makode was granted an award of 60,000 Performance Units, pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each Performance Unit represented a contractual right in respect of one share of the Issuer's common stock. The Performance Units were to become vested, if at all, upon the achievement of certain specified financial performance objectives and the continued performance of services through the date that the Company filed its Annual Report on Form 10-K for its fiscal year ended September 30, 2018 (the "Annual Report"). On December 7, 2018, upon the filing of the Annual Report, the performance criteria were determined to have been partially met, resulting in vesting of 32,015 Performance Units under this award.

SEC source: 0001456922-18-000002 · primary_doc.xml · nonDerivative · entry 2

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,746

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: 0001456922-18-000002 · primary_doc.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,443

F1 · security: On October 2, 2015, Ms. McLauchlin was granted an award of 70,000 Performance Units, pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each Performance Unit represented a contractual right in respect of one share of the Issuer's common stock. The Performance Units were to become vested, if at all, upon the achievement of certain specified financial performance objectives and the continued performance of services through the date that the Company filed its Annual Report on Form 10-K for its fiscal year ended September 30, 2018 (the "Annual Report"). On December 7, 2018, upon the filing of the Annual Report, the performance criteria were determined to have been partially met, resulting in vesting of 37,350 Performance Units under this award.

SEC source: 0001540463-18-000002 · primary_doc.xml · nonDerivative · entry 2

Lewey Robert W. · CIK 0001540463 · Director · Director & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,616

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: 0001540463-18-000002 · primary_doc.xml · nonDerivative · entry 1

Lewey Robert W. · CIK 0001540463 · Director · Director & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,011

F1 · security: On October 2, 2015, Mr. Lewey was granted an award of 140,000 Performance Units, pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each Performance Unit represented a contractual right in respect of one share of the Issuer's common stock. The Performance Units were to become vested, if at all, upon the achievement of certain specified financial performance objectives and the continued performance of services through the date that the Company filed its Annual Report on Form 10-K for its fiscal year ended September 30, 2018 (the "Annual Report"). On December 7, 2018, upon the filing of the Annual Report, the performance criteria were determined to have been partially met, resulting in vesting of 74,701 Performance Units under this award.

SEC source: 0000899243-18-026097 · 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: 12,407,371

F2 · shares: Represents phantom stock units ("PSUs") 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 PSUs as director compensation in lieu of a cash or common stock retainer. Each PSU converts to one share of Common Stock when Mr. Gendell leaves the board of directors for any reason.

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 2,569,418 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 33,119 shares of Common Stock and 7,070 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: 0001408176-18-000021 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,928

F1 · security: Represents Phantom Stock Units granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) 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 Mr. Koshkin leaves the board of directors for any reason.

SEC source: 0001408176-18-000022 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,869

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

SEC source: 0001408176-18-000019 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,186

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

SEC source: 0001408176-18-000020 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,366

F1 · security: Represents Phantom Stock Units 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 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 Mr. Gendell leaves the board of directors for any reason.

SEC source: 0001408176-18-000018 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,233

F1 · security: Represents Phantom Stock Units granted pursuant to the IES 2006 Equity Incentive Plan (as amended and restated through February 2016) 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 Mr. Cleveland leaves the board of directors for any reason.

SEC source: 0001408176-18-000017 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,993

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.05 to $19.11, inclusive for transactions on 9/10/2018. 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: 0001408176-18-000023 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,711

SEC source: 0001408176-18-000016 · primary_doc.xml · nonDerivative · entry 2

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,775

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $18.80 to $18.90, inclusive, for transactions on 9/6/2018, and from $18.90 to $19.10, inclusive, for transactions on 9/7/2018. 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: 0001408176-18-000016 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,675

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $18.80 to $18.90, inclusive, for transactions on 9/6/2018, and from $18.90 to $19.10, inclusive, for transactions on 9/7/2018. 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: 0000899243-18-019477 · 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: 12,406,538

F2 · shares: Represents phantom stock units ("PSUs") 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 PSUs as director compensation in lieu of a cash or common stock retainer. Each PSU converts to one share of Common Stock when Mr. Gendell leaves the board of directors for any reason.

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 2,569,418 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 33,119 shares of Common Stock and 6,237 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: 0001408176-18-000015 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,652

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

SEC source: 0001408176-18-000014 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,624

F1 · security: Represents Phantom Stock Units granted pursuant to the IES Holdings, Inc. ("IES") 2006 Equity Incentive Plan (as amended and restated through February 2016) 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 Mr. Koshkin leaves the board of directors for any reason.

SEC source: 0001408176-18-000013 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,674

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