IESC

SEC source: 0001297011-17-000003 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,697

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: 0001297011-17-000001 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,670

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. 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: 0001495394-17-000003 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,550

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $18.75 to $19.50 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: 0001495394-17-000002 · primary_doc.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,550

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.40 to $19.50 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: 0000899243-17-004587 · doc4.xml · nonDerivative · entry 2

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,150

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $20.33 to $20.50, inclusive for transactions on 2/15/2017, $19.70 to $20.00, inclusive for transactions on 2/16/2017. 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: 0000899243-17-004587 · doc4.xml · nonDerivative · entry 1

Cleveland Todd M · CIK 0001407402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $20.33 to $20.50, inclusive for transactions on 2/15/2017, $19.70 to $20.00, inclusive for transactions on 2/16/2017. 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: 0001104659-17-000967 · a4.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: 12,436,904

F2 · shares: Represents phantom stock units ("PSUs") granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 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: 0000899243-17-000477 · doc4.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,439

F1 · security: Represents Phantom Stock Units granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Gendell electing to receive PSUs in lieu of a cash or common stock retainer. Each unit converts to one share of IES Holdings, Inc. common stock when Mr. Gendell leaves the board of directors for any reason.

SEC source: 0000899243-17-000476 · doc4.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,920

F1 · security: Represents Phantom Stock Units granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 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 Holdings, Inc. common stock when Mr. Luke leaves the board of directors for any reason.

SEC source: 0000899243-17-000473 · doc4.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,158

F1 · security: Represents Phantom Stock Units granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 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 Holdings, Inc. common stock when Mr. Dowling leaves the board of directors for any reason.

SEC source: 0000899243-17-000474 · doc4.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,537

F1 · security: Represents common stock granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Koshkin electing to receive stock in lieu of cash or Phantom Stock Units for that portion of his retainer.

SEC source: 0001540463-16-000003 · primary_doc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,000 shares

Expires 2023-05-01

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

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: 0001540463-16-000003 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,604

F2 · price: The price reported in Column 4 is a weighted price for shares sold in multiple transactions at prices ranging from $21.55 to $22.95 inclusive. The reporting person undertakes to provide IES, any security holder of IES, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001540463-16-000003 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,604

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: 0001456922-16-000003 · primary_doc.xml · nonDerivative · entry 1

McLauchlin Tracy · CIK 0001456922 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,839

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 through February 2016).

SEC source: 0001495394-16-000004 · primary_doc.xml · nonDerivative · entry 1

Koshkin Joe D · CIK 0001495394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,917

F1 · security: Represents common stock granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Koshkin electing to receive stock in lieu of cash or Phantom Stock Units for that portion of his retainer.

SEC source: 0001104659-16-148933 · a4.xml · nonDerivative · entry 3

GENDELL JEFFREY L ET AL · CIK 0000948904 · 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: 12,436,382

F2 · kind: On October 3, 2016, TCP 2 distributed an aggregate of 4,000,000 shares of Common Stock on a pro-rata basis to all holders of ownership interests in TCP 2, of which 3,105,040 shares of Common Stock were distributed to investors that are directly or indirectly controlled by Mr. Gendell as follows: 96,891 shares of Common Stock to TAA, 979,257 shares of Common Stock to TM, 1,910,529 shares of Common Stock to TCM, 47,284 shares of Common Stock to TCO and 71,079 shares of Common Stock to Mr. Gendell and his children. The remaining 894,960 shares of Common distributed by TCP 2 were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F2 · price: On October 3, 2016, TCP 2 distributed an aggregate of 4,000,000 shares of Common Stock on a pro-rata basis to all holders of ownership interests in TCP 2, of which 3,105,040 shares of Common Stock were distributed to investors that are directly or indirectly controlled by Mr. Gendell as follows: 96,891 shares of Common Stock to TAA, 979,257 shares of Common Stock to TM, 1,910,529 shares of Common Stock to TCM, 47,284 shares of Common Stock to TCO and 71,079 shares of Common Stock to Mr. Gendell and his children. The remaining 894,960 shares of Common distributed by TCP 2 were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F1 · ownership.nature: This report is filed jointly by Tontine Capital Partners, L.P., a Delaware limited partnership ("TCP"), Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Capital Overseas Master Fund II, L.P., a Cayman Islands limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA"), Tontine Associates, L.L.C., a Delaware limited liability company ("TA"), Tontine Capital Overseas GP, L.L.C., a Delaware limited liability company ("TCO"), and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP; (b) TM; (c) TAA, the general partner of TCP 2; (d) TA; and (e) TCO.

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, 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 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: 0001104659-16-148933 · a4.xml · nonDerivative · entry 2

GENDELL JEFFREY L ET AL · CIK 0000948904 · 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: 12,436,382

F2 · kind: On October 3, 2016, TCP 2 distributed an aggregate of 4,000,000 shares of Common Stock on a pro-rata basis to all holders of ownership interests in TCP 2, of which 3,105,040 shares of Common Stock were distributed to investors that are directly or indirectly controlled by Mr. Gendell as follows: 96,891 shares of Common Stock to TAA, 979,257 shares of Common Stock to TM, 1,910,529 shares of Common Stock to TCM, 47,284 shares of Common Stock to TCO and 71,079 shares of Common Stock to Mr. Gendell and his children. The remaining 894,960 shares of Common distributed by TCP 2 were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F2 · price: On October 3, 2016, TCP 2 distributed an aggregate of 4,000,000 shares of Common Stock on a pro-rata basis to all holders of ownership interests in TCP 2, of which 3,105,040 shares of Common Stock were distributed to investors that are directly or indirectly controlled by Mr. Gendell as follows: 96,891 shares of Common Stock to TAA, 979,257 shares of Common Stock to TM, 1,910,529 shares of Common Stock to TCM, 47,284 shares of Common Stock to TCO and 71,079 shares of Common Stock to Mr. Gendell and his children. The remaining 894,960 shares of Common distributed by TCP 2 were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F1 · ownership.nature: This report is filed jointly by Tontine Capital Partners, L.P., a Delaware limited partnership ("TCP"), Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Capital Overseas Master Fund II, L.P., a Cayman Islands limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA"), Tontine Associates, L.L.C., a Delaware limited liability company ("TA"), Tontine Capital Overseas GP, L.L.C., a Delaware limited liability company ("TCO"), and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP; (b) TM; (c) TAA, the general partner of TCP 2; (d) TA; and (e) TCO.

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, 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 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: 0001104659-16-148933 · a4.xml · nonDerivative · entry 1

GENDELL JEFFREY L ET AL · CIK 0000948904 · 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: 12,436,382

F2 · kind: On October 3, 2016, TCP 2 distributed an aggregate of 4,000,000 shares of Common Stock on a pro-rata basis to all holders of ownership interests in TCP 2, of which 3,105,040 shares of Common Stock were distributed to investors that are directly or indirectly controlled by Mr. Gendell as follows: 96,891 shares of Common Stock to TAA, 979,257 shares of Common Stock to TM, 1,910,529 shares of Common Stock to TCM, 47,284 shares of Common Stock to TCO and 71,079 shares of Common Stock to Mr. Gendell and his children. The remaining 894,960 shares of Common distributed by TCP 2 were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F2 · price: On October 3, 2016, TCP 2 distributed an aggregate of 4,000,000 shares of Common Stock on a pro-rata basis to all holders of ownership interests in TCP 2, of which 3,105,040 shares of Common Stock were distributed to investors that are directly or indirectly controlled by Mr. Gendell as follows: 96,891 shares of Common Stock to TAA, 979,257 shares of Common Stock to TM, 1,910,529 shares of Common Stock to TCM, 47,284 shares of Common Stock to TCO and 71,079 shares of Common Stock to Mr. Gendell and his children. The remaining 894,960 shares of Common distributed by TCP 2 were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.

F1 · ownership.nature: This report is filed jointly by Tontine Capital Partners, L.P., a Delaware limited partnership ("TCP"), Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Capital Overseas Master Fund II, L.P., a Cayman Islands limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA"), Tontine Associates, L.L.C., a Delaware limited liability company ("TA"), Tontine Capital Overseas GP, L.L.C., a Delaware limited liability company ("TCO"), and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP; (b) TM; (c) TAA, the general partner of TCP 2; (d) TA; and (e) TCO.

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, 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 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: 0001338684-16-000005 · primary_doc.xml · nonDerivative · entry 1

Luke Donald L · CIK 0001338684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,643

F1 · security: Represents Phantom Stock Units granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 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 Holdings, Inc. common stock when Mr. Luke leaves the board of directors for any reason.

SEC source: 0001408176-16-000002 · primary_doc.xml · nonDerivative · entry 2

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,460

F2 · shares: Represents shares of common stock of IES Holdings, Inc. (the Company) received by Mr. Gendell as a result of an in-kind, pro rata distribution of IES Holdings, Inc. common stock by an investment fund to all of its investors, including Mr. Gendell. The investment fund is affiliated with Tontine Capital Partners, L.P., which, together with its affiliates, is the majority shareholder of the Company.

SEC source: 0001408176-16-000002 · primary_doc.xml · nonDerivative · entry 1

Gendell David B. · CIK 0001408176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,083

F1 · security: Represents Phantom Stock Units granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 2006 Equity Incentive Plan (as amended and restated through February 2016) upon Mr. Gendell electing to receive PSUs in lieu of a cash or common stock retainer. Each unit converts to one share of IES Holdings, Inc. common stock when Mr. Gendell leaves the board of directors for any reason.

SEC source: 0001297011-16-000004 · primary_doc.xml · nonDerivative · entry 2

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,636

F2 · shares: Represents shares of common stock of IES Holdings, Inc. (the Company) received by Mr. Dowling as a result of an in-kind, pro rata distribution of IES Holdings, Inc. common stock by an investment fund to all of its investors, including Mr. Dowling. The investment fund is affiliated with Tontine Capital Partners, L.P., which, together with its affiliates, is the majority shareholder of the Company.

SEC source: 0001297011-16-000004 · primary_doc.xml · nonDerivative · entry 1

Dowling Joseph L III · CIK 0001297011 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,530

F1 · security: Represents Phantom Stock Units granted pursuant to the Integrated Electrical Services, Inc. (n/k/a IES Holdings, Inc.) 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 Holdings, Inc. common stock when Mr. Dowling leaves the board of directors for any reason.