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IES Holdings, Inc. — Director's Dealing 2021
Apr 24, 2021
30757_dirs_2021-04-23_1046ecbc-1c8c-4dd6-9faa-3c75bc624382.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: IES Holdings, Inc. (IESC)
CIK: 0001048268
Period of Report: 2021-04-16
Reporting Person: Petersen Alison M (VP & Chief Accounting Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7802.03 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $7.21 | 2025-02-02 | Common Stock (1000.0) | Direct |
Footnotes
F1: On February 6, 2019, Ms. Petersen was granted 3,333 phantom stock units (the "2019 PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each 2019 PSU represents a contractual right in respect of one share of the Issuer's common stock. The 2019 PSUs vest, if at all, in three tranches upon the continued performance of services through the applicable scheduled vesting date. The first and second tranches vested on December 6, 2019 and December 7, 2020, respectively. The final tranche of 1,666.63 shares is scheduled to vest on the earlier of December 15, 2022 and the date that Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2021.
F2: On December 4, 2019, Ms. Petersen was granted 2,280 time-based phantom stock units (the "2020 PSUs") pursuant to the 2006 Equity Incentive Plan. The 2020 PSUs vest, if at all, upon the continued performance of services through the applicable scheduled vesting date. The 2020 PSUs are scheduled to vest on the earlier of December 15, 2022 and the date that Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2022.
F3: On December 7, 2020, Ms. Petersen was granted 1,609.4 time-based phantom stock units (the "2021 PSUs") pursuant to the 2006 Equity Incentive Plan. Each 2021 PSU represents a contractual right in respect of one share of the Issuer's common stock. The 2021 PSUs vest, if at all, upon the continued performance of services through the applicable scheduled vesting date. The 2021 PSUs are scheduled to vest on the earlier of December 15, 2023 and the date that Issuer files its Annual Report on Form 10-K for its fiscal year ending September 30, 2023.