4//SEC Filing
Tontine Capital Overseas GP, LLC 4
Accession 0000899243-20-000552
CIK 0001048268other
Filed
Jan 5, 7:00 PM ET
Accepted
Jan 6, 4:55 PM ET
Size
22.4 KB
Accession
0000899243-20-000552
Insider Transaction Report
Form 4
TONTINE CAPITAL PARTNERS L P
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes) - Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes)
TONTINE CAPITAL MANAGEMENT LLC
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes) - Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes)
TONTINE MANAGEMENT LLC
10% Owner
Transactions
- Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes) - Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes)
GENDELL JEFFREY L ET AL
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes) - Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes)
Transactions
- Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes) - Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes)
TONTINE ASSET ASSOCIATES, L.L.C.
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes) - Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes)
Tontine Associates, LLC
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes) - Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes)
Tontine Capital Overseas GP, LLC
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share
2020-01-02−112,590→ 12,069,653 total(indirect: See Footnotes) - Award
Common Stock, par value $0.01 per share
2020-01-02+1,412→ 12,071,065 total(indirect: See Footnotes)
Footnotes (7)
- [F1]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.
- [F2]On January 2, 2020, TCP 2 distributed 137,652 shares of Common Stock to certain of its investors in connection with the redemption of ownership interests in TCP 2 held by those investors, including 112,590 shares of Common Stock that were distributed to investors that are not directly or indirectly controlled by Mr. Gendell.
- [F3]Represents shares of 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 as director compensation in lieu of cash or phantom stock units ("PSUs") for his retainer.
- [F4]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 2,200,996 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 63,276 shares of Common Stock and 9,029 PSUs, and Mr. Gendell's children own 48,118 shares of Common Stock.
- [F5]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.
- [F6]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.
- [F7]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.
Documents
Issuer
IES Holdings, Inc.
CIK 0001048268
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001409490
Filing Metadata
- Form type
- 4
- Filed
- Jan 5, 7:00 PM ET
- Accepted
- Jan 6, 4:55 PM ET
- Size
- 22.4 KB