IES Holdings, Inc. — Director's Dealing 2021

Apr 24, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: IES Holdings, Inc. (IESC)
CIK: 0001048268
Period of Report: 2021-04-16

Reporting Person: Newman Mary K (VP, General Counsel & Corp Sec)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	19972.30	Direct

Footnotes

F1: On December 4, 2019, Ms. Newman was granted 9,335 shares of restricted stock (the "Sign-On Restricted Stock") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). The Sign-On Restricted Stock vests, if at all, in three tranches upon the continued performance of services through the applicable scheduled vesting date. The first tranche of 3,118 shares of the Sign-On Restricted Stock vested on December 1, 2020; the second tranche of 3,118 shares is scheduled to vest on December 1, 2021 and the third tranche of 3,119 shares is scheduled to vest on December 1, 2023.

F2: On December 4, 2019, Ms. Newman was granted 7,015 shares of time-based restricted stock (the "LTIP Restricted Stock") pursuant to the 2006 Equity Incentive Plan. The LTIP Restricted Stock vests, if at all, upon the continued performance of services through the applicable scheduled vesting date. The LTIP Restricted Stock 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, 2022.

F3: On December 7, 2020, Ms. Newman was granted 4,828.3 time-based phantom stock units (the "PSUs") pursuant to the 2006 Equity Incentive Plan. Each PSU represents a contractual right in respect of one share of the Issuer's common stock. The PSUs vest, if at all, upon the continued performance of services through the applicable scheduled vesting date. The 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.