0001048268-23-000107.txt : 20231208
0001048268-23-000107.hdr.sgml : 20231208
20231208171623
ACCESSION NUMBER: 0001048268-23-000107
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231207
FILED AS OF DATE: 20231208
DATE AS OF CHANGE: 20231208
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GENDELL JEFFREY L ET AL
CENTRAL INDEX KEY: 0000948904
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476333
MAIL ADDRESS:
STREET 2: 200 PARK AVENUE SUITE 3900
CITY: NEW YORK
STATE: NY
ZIP: 10166
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TONTINE CAPITAL PARTNERS L P
CENTRAL INDEX KEY: 0001276922
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476332
BUSINESS ADDRESS:
STREET 1: C/O TONTINE CAPITAL MANAGEMENT LLC LP
STREET 2: 55 RAILROAD AVENUE 3RD FL
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2037692000
MAIL ADDRESS:
STREET 1: C/O TONTINE CAPITAL MANAGEMENT LLC LP
STREET 2: 55 RAILROAD AVENUE 3RD FL
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TONTINE MANAGEMENT LLC
CENTRAL INDEX KEY: 0001268959
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476330
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE 3RD FLOOR
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2037692000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE 3RD FLOOR
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TONTINE CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0001272374
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476331
MAIL ADDRESS:
STREET 1: C/O TORTINE PARTNERS LP
STREET 2: 55 RAILRAOD AVENUE 3RD FL
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tontine Associates, LLC
CENTRAL INDEX KEY: 0001491514
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476327
BUSINESS ADDRESS:
STREET 1: 1 SOUND SHORE DRIVE, SUITE 304
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2037692000
MAIL ADDRESS:
STREET 1: 1 SOUND SHORE DRIVE, SUITE 304
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tontine Capital Overseas GP, LLC
CENTRAL INDEX KEY: 0001409490
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476326
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-769-2000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P.
CENTRAL INDEX KEY: 0001482608
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476329
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-769-2000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TONTINE ASSET ASSOCIATES, L.L.C.
CENTRAL INDEX KEY: 0001482609
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13783
FILM NUMBER: 231476328
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-769-2000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: IES Holdings, Inc.
CENTRAL INDEX KEY: 0001048268
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL WORK [1731]
IRS NUMBER: 760542208
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 2 RIVERWAY
STREET 2: SUITE 1730
CITY: HOUSTON
STATE: TX
ZIP: 77056
BUSINESS PHONE: 7138601500
MAIL ADDRESS:
STREET 1: 2 RIVERWAY
STREET 2: SUITE 1730
CITY: HOUSTON
STATE: TX
ZIP: 77056
FORMER COMPANY:
FORMER CONFORMED NAME: Integrated Electrical Services, Inc.
DATE OF NAME CHANGE: 20150106
FORMER COMPANY:
FORMER CONFORMED NAME: INTEGRATED ELECTRICAL SERVICES INC
DATE OF NAME CHANGE: 19971022
4
1
wk-form4_1702073773.xml
FORM 4
X0508
4
2023-12-07
0
0001048268
IES Holdings, Inc.
IESC
0000948904
GENDELL JEFFREY L ET AL
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
1
1
1
0
Chief Executive Officer
0001276922
TONTINE CAPITAL PARTNERS L P
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
0001272374
TONTINE CAPITAL MANAGEMENT LLC
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
0001268959
TONTINE MANAGEMENT LLC
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
0001482608
TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P.
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
0001482609
TONTINE ASSET ASSOCIATES, L.L.C.
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
0001491514
Tontine Associates, LLC
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
0001409490
Tontine Capital Overseas GP, LLC
1 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
0
Common Stock, par value $0.01 per share
2023-12-07
4
A
0
4134
0
A
11621435
I
See Footnotes
On December 7, 2023, Mr. Gendell was granted an award of Phantom Stock Units ("PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each PSU represents a contractual right in respect of one share of the Issuer's Common Stock. The 4,134 PSUs granted to Mr. Gendell on December 7, 2023 (the "Time-Based PSUs") will vest upon the continued performance of services through the scheduled vesting date. The Time-Based PSUs are scheduled to vest on the earlier of (i) December 15, 2026 and (ii) the date that the Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2026.
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 Delaware 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.
TCP directly owns 5,642,723 shares of Common Stock, TCM directly owns 1,910,529 shares of Common Stock, TM directly owns 1,410,162 shares of Common Stock, TCP 2 directly owns 1,660,506 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 136,392 shares of Common Stock and 71,528 PSUs granted to him pursuant to the 2006 Equity Incentive Plan, and Mr. Gendell's adult children own 3,363 shares of Common Stock through trusts for which Mr. Gendell acts as trustee.
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.
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.
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.
Tontine Capital Partners, L.P., By: its General Partner, Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell
2023-12-08
Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell
2023-12-08
Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell
2023-12-08
Tontine Capital Overseas Master Fund II, L.P., By: its General Partner, Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell
2023-12-08
Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell
2023-12-08
Tontine Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell
2023-12-08
Tontine Capital Overseas GP, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell
2023-12-08
/s/ Jeffrey L. Gendell
2023-12-08