Sec Form 3 Filing - Petersen Alison M @ IES Holdings, Inc. - 2021-04-16

FORM 3 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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 2. Issuer Name and Ticker or Trading Symbol IES Holdings, Inc. [ IESC] 5. 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 (Last) (First) (Middle) 5433 WESTHEIMER RD, SUITE 500 3. Date of Earliest Transaction (MM/DD/YY) 04/16/2021 (Street) HOUSTON, TX77056 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 7,802.03 ( 1 ) ( 2 ) ( 3 ) D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Employee Stock Option (right to buy) $ 7.21 02/02/2017 02/02/2025 Common Stock 1,000 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Petersen Alison M 5433 WESTHEIMER RD, SUITE 500 HOUSTON, TX77056 VP & Chief Accounting Officer Signatures /s/ Mary K. Newman, Attorney-in-Fact 04/23/2021 Signature of Reporting Person Date

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.

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 4(b)(v).

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