| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| GENDELL JEFFREY L ET AL | Executive Chairman, Director, 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | Tontine Capital Partners, L.P., By: its General Partner, Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell | 2025-11-25 | 0000948904 |
| TONTINE ASSET ASSOCIATES, L.L.C. | 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell | 2025-11-25 | 0001482609 |
| TONTINE CAPITAL MANAGEMENT LLC | 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell | 2025-11-25 | 0001272374 |
| TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P. | 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | Tontine Capital Overseas Master Fund II, L.P. By: its General Partner, Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell | 2025-11-25 | 0001482608 |
| TONTINE CAPITAL PARTNERS L P | 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | Tontine Asset Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell | 2025-11-25 | 0001276922 |
| TONTINE MANAGEMENT LLC | 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | Tontine Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell | 2025-11-25 | 0001268959 |
| Tontine Associates, LLC | 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | Tontine Capital Overseas GP, L.L.C. By: its Managing Member,/s/ Jeffrey L. Gendell | 2025-11-25 | 0001491514 |
| Tontine Capital Overseas GP, LLC | 10%+ Owner | 1 SOUND SHORE DRIVE, GREENWICH | /s/ Jeffrey L. Gendell | 2025-11-25 | 0001409490 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | IESC | Common Stock, par value $0.01 per share | Award | $7.45M | +20.1K | +0.19% | $371.19 | 10.8M | Nov 21, 2025 | See footnotes | F1, F2, F3, F4, F5, F6 |
| transaction | IESC | Common Stock, par value $0.01 per share | Tax liability | -$4.89M | -13.2K | -0.12% | $371.19 | 10.8M | Nov 21, 2025 | See footnotes | F2, F3, F4, F5, F6, F7 |
| Id | Content |
|---|---|
| F1 | On December 6, 2022, Jeffrey L. Gendell ("Mr. Gendell") was granted performance-based phantom stock units ("PSUs") pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated (the "2006 Equity Incentive Plan"). Each PSU represented a contractual right in respect of one share of the Issuer's Common Stock and would vest, if at all, upon the achievement of certain specified financial performance objectives and the continued performance of services through the scheduled vesting date. On November 21, 2025, upon the filing of the Issuer's Annual Report on Form 10-K for its fiscal year ended September 30, 2025, the performance and service criteria were determined to have been met, resulting in the vesting of 20,077 performance-based PSUs under this award. |
| F2 | 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 Delaware 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 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. |
| F3 | TCP directly owns 5,614,644 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 810,934 shares of Common Stock, TAA directly owns 96,891 shares of Common Stock, TA directly owns 640,057 shares of Common Stock, TCO directly owns 47,284 shares of Common Stock, Mr. Gendell directly owns 178,481 shares of Common Stock and 64,270 PSUs granted to him pursuant to the 2006 Equity Incentive Plan, and Mr. Gendell's adult children own 3,363 shares of Common Stock through trusts for which Mr. Gendell acts as trustee. |
| F4 | 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. |
| F5 | 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. |
| F6 | 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. |
| F7 | Represents shares of Common Stock withheld to satisfy the tax withholding obligation resulting from the vesting of the time- and performance-based PSUs granted to Mr. Gendell on December 6, 2022 pursuant to the 2006 Equity Incentive Plan. |