Gendell Jeffrey L Et Al's Form 4 filing
IES Holdings, Inc. (IESC) · filed Dec 18, 2023
- Accession no.
- 0001048268-23-000119
- Filed
- Dec 18, 2023, 5:52 PM ET
- Trade date
- Dec 14-15, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions. Open-market sales total $2.00M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gendell Jeffrey L Et AlCIK 0000948904 | Director, Officer (Chief Executive Officer), 10% Owner |
| Tontine Management LLCCIK 0001268959 | 10% Owner |
| Tontine Capital Management LLCCIK 0001272374 | 10% Owner |
| Tontine Capital Partners L PCIK 0001276922 | 10% Owner |
| Tontine Capital Overseas GP, LLCCIK 0001409490 | 10% Owner |
| Tontine Capital Overseas Master Fund II, L.P.CIK 0001482608 | 10% Owner |
| Tontine Asset Associates, L.L.C.CIK 0001482609 | 10% Owner |
| Tontine Associates, LLCCIK 0001491514 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −1,650 | $83.82F2 | −$138,303 | 11,592,350 | Indirect | |
| Dec 14, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −3,155 | $84.84F8 | −$267,670.2 | 11,589,195 | Indirect | |
| Dec 14, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −9,900 | $85.92F9 | −$850,608 | 11,579,295 | Indirect | |
| Dec 15, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −5,999 | $84.06F10 | −$504,275.94 | 11,573,296 | Indirect | |
| Dec 15, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −263 | $85.47F11 | −$22,478.61 | 11,573,033 | Indirect | |
| Dec 15, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −2,547 | $85.62F12 | −$218,074.14 | 11,570,486 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
On December 14, 2023, TCP 2 sold 1,650 shares of Common Stock at a weighted average price of $83.82 per share. These shares were sold in multiple transactions at prices ranging from $83.20 to $84.08, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F8
Also on December 14, 2023, TCP 2 sold 3,155 shares of Common Stock at a weighted average price of $84.84 per share. These shares were sold in multiple transactions at prices ranging from $84.39 to $85.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F9
Also on December 14, 2023, TCP 2 sold 9,900 shares of Common Stock at a weighted average price of $85.92 per share. These shares were sold in multiple transactions at prices ranging from $85.49 to $86.24, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F10
On December 15, 2023, TCP 2 sold 5,999 shares of Common Stock at a weighted average price of $84.06 per share. These shares were sold in multiple transactions at prices ranging from $83.61 to $84.56, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F11
Also on December 15, 2023, TCP 2 sold 263 shares of Common Stock at a weighted average price of $85.47 per share. These shares were sold in multiple transactions at prices ranging from $84.61 to $85.53, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F12
Also on December 15, 2023, TCP 2 sold 2,547 shares of Common Stock at a weighted average price of $85.62 per share. These shares were sold in multiple transactions at prices ranging from $85.62 to $85.81, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.