SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Petersen Alison M

(Last) (First) (Middle)
5433 WESTHEIMER RD, SUITE 500

(Street)
HOUSTON TX 77056

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/16/2021
3. Issuer Name and Ticker or Trading Symbol
IES Holdings, Inc. [ IESC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP & Chief Accounting Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 7,802.03(1)(2)(3) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) 02/02/2017 02/02/2025 Common Stock 1,000 7.21 D
Explanation of Responses:
1. 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.
2. 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.
3. 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.
Remarks:
Ms. Petersen's POA is attached as Exhibit 24 hereto.
/s/ Mary K. Newman, Attorney-in-Fact 04/23/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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