Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| IES Holdings, Inc.IESC · Entity 3458 | Director · Director & President | December 07, 2018 | December 11, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
IES Holdings, Inc.
Report date December 07, 2018 · Filed December 11, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 160,011 |
Reported balance
After 2018-12-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-12-07 · Grant · Acquired 74,701 · Balance 160,011 F1: 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. |
| Common StockSEC Table I · non-derivative | Direct | 130,616 |
Reported balance
After 2018-12-07 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-12-07 · Tax withholding · Disposed 29,395 · Balance 130,616 F2: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Performance Units delivered pursuant to the 2006 Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Represents shares withheld to satisfy withholding tax liability resulting from the vesting of Performance Units delivered pursuant to the 2006 Equity Incentive Plan.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 07, 2018 Filed Dec 11, 2018 23:19 UTC | IES Holdings, Inc. IESC · Entity 3458 | Tax withholdingCommon Stock | 29,395 | $17.09 | $502,360.55 |
DisclosureSEC 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. Read SEC document |
| December 07, 2018 Filed Dec 11, 2018 23:19 UTC | IES Holdings, Inc. IESC · Entity 3458 | GrantCommon Stock | 74,701 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 12, 2018 Filed May 15, 2018 21:58 UTC | IES Holdings, Inc. IESC · Entity 3458 | Tax withholdingCommon Stock | 2,023 | $17.50 | $35,402.50 |
DisclosureSEC 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). Read SEC document |
| May 22, 2017 Filed May 23, 2017 22:53 UTC | IES Holdings, Inc. IESC · Entity 3458 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $7.27 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 22, 2017 Filed May 23, 2017 22:53 UTC | IES Holdings, Inc. IESC · Entity 3458 | Exercise / conversionCommon Stock | 5,000 | $7.27 | $36,350.00 |
DisclosureSEC 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. Read SEC document |
| May 12, 2017 Filed May 16, 2017 15:36 UTC | IES Holdings, Inc. IESC · Entity 3458 | Tax withholdingCommon Stock | 2,271 | $16.65 | $37,812.15 |
DisclosureSEC 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). Read SEC document |
| December 13, 2016 Filed Dec 16, 2016 01:03 UTC | IES Holdings, Inc. IESC · Entity 3458 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 13,000 | $0.00 Strike: $5.76 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 13, 2016 Filed Dec 16, 2016 01:03 UTC | IES Holdings, Inc. IESC · Entity 3458 | SaleCommon Stock | 13,000 | $22.03 | $286,390.00 |
DisclosureSEC 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. Read SEC document |
| December 13, 2016 Filed Dec 16, 2016 01:03 UTC | IES Holdings, Inc. IESC · Entity 3458 | Exercise / conversionCommon Stock | 13,000 | $5.76 | $74,880.00 |
DisclosureSEC 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). Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.