IESC

SEC source: 0001408176-18-000012 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,471

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: 0001408176-18-000011 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,950

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: 0001456922-18-000001 · primary_doc.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,093

F1 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Restricted Stock delivered pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

SEC source: 0001540463-18-000001 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,310

F1 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Restricted Stock delivered pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

SEC source: 0001408176-18-000010 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,465

F1 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Restricted Stock delivered pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

SEC source: 0000899243-18-009272 · 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: 12,405,568

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 5,267 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: 0001408176-18-000007 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,399

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: 0001408176-18-000004 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,077

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: 0001408176-18-000006 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,270

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: 0001408176-18-000005 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,011

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: 0001408176-18-000003 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,192

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: 0001408176-18-000009 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,641

F1 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Restricted Stock delivered pursuant to the 2006 Equity Incentive Plan (as amended and restated).

SEC source: 0001408176-18-000008 · primary_doc.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,904

F1 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Restricted Stock delivered pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

SEC source: 0001408176-18-000002 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,475

SEC source: 0001338684-18-000001 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,119

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: 0001495394-18-000001 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,879

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: 0001408176-18-000001 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,475

F1 · security: Represents 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 in lieu of cash or Phantom Stock Units for that portion of his retainer.

SEC source: 0001297011-18-000001 · primary_doc.xml · nonDerivative · entry 2

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,883

F2 · 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: 0001297011-18-000002 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,417

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: 0001104659-18-000848 · a4.xml · nonDerivative · entry 2

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: 12,404,496

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 2,569,418 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 4,195 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: 0001104659-18-000848 · 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: 12,403,554

F2 · kind: On January 2, 2018, TCP 2 distributed 36,081 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, 2018, TCP 2 distributed 36,081 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, 2018, TCP 2 distributed 36,081 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, 2018, TCP 2 distributed 36,081 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 2,569,418 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 4,195 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: 0001297011-18-000001 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,627

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.95 to $17.30 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: 0000899243-17-023336 · 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: 12,439,635

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 2,605,499 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 3,253 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: 0000899243-17-023342 · doc4.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,535

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: 0000899243-17-023340 · doc4.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,127

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. 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: 0000899243-17-023339 · doc4.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,812

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: 0000899243-17-023335 · doc4.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,225

F1 · security: Represents 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 in lieu of cash or Phantom Stock Units for that portion of his retainer.

SEC source: 0000899243-17-023333 · doc4.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,838

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: 0000899243-17-017998 · 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: 12,438,696

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 2,605,499 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 2,314 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: 0001408176-17-000011 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,505

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: 0001408176-17-000010 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,192

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: 0001408176-17-000009 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,955

F1 · security: Represents 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 in lieu of cash or Phantom Stock Units for that portion of his retainer.

SEC source: 0001408176-17-000008 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,260

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: 0001408176-17-000007 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,893

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. 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: 0001408176-17-000006 · primary_doc.xml · derivative · entry 2

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 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.

F3 · price: The price reported in Column 8 reflects that the stock options were granted to the reporting person pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

F2 · derivative.exercise_date: The date indicated is the vesting date for the stock options.

SEC source: 0001408176-17-000006 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,697

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 · security: 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 through February 2016).

SEC source: 0001408176-17-000005 · primary_doc.xml · derivative · entry 2

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2025-02-02

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

F4 · price: The price reported in Column 8 reflects that the stock options were granted to the employee pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

F3 · derivative.exercise_date: The date indicated is the vesting date for the stock options.

SEC source: 0001408176-17-000005 · primary_doc.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,441

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 · security: 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 through February 2016).

F2 · shares: All tax withholdings resulting from the exercise of the stock options described herein were paid in cash.

SEC source: 0001408176-17-000004 · primary_doc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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.

F4 · price: The price reported in Column 8 reflects that the stock options were granted to the employee pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

F3 · derivative.exercise_date: The date indicated is the vesting date for the stock options.

SEC source: 0001408176-17-000004 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,333

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 · security: 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 through February 2016).

F2 · shares: All tax withholdings resulting from the exercise of the stock options described herein were paid in cash.

SEC source: 0001408176-17-000003 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,670

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.50 to $16.05 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: 0001408176-17-000002 · primary_doc.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,941

F1 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Restricted Stock delivered pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

SEC source: 0001540463-17-000001 · primary_doc.xml · nonDerivative · entry 1

Lewey Robert W. · CIK 0001540463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,333

F1 · security: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Restricted Stock delivered pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan (as amended and restated through February 2016).

SEC source: 0001408176-17-000001 · primary_doc.xml · nonDerivative · entry 3

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,697

SEC source: 0001408176-17-000001 · primary_doc.xml · nonDerivative · entry 2

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,697

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 $16.74 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: 0001408176-17-000001 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,697

SEC source: 0000899243-17-009483 · 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: 12,437,801

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 2,605,499 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 33,641 shares of Common Stock 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: 0001297011-17-000002 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,710

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) 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: 0001297011-17-000005 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,213

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) upon Mr. Luke 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. Luke leaves the board of directors for any reason.

SEC source: 0001297011-17-000004 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,865

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) upon Mr. Koshkin 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. Koshkin leaves the board of directors for any reason.