Sec Form 3 Filing - Santoni Thomas E @ IES Holdings, Inc. - 2016-06-06

Insider filing report for Changes in Beneficial Ownership
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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
Santoni Thomas E
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)
SVP, Operations
(Last) (First) (Middle)
5433 WESTHEIMER ROAD, SUITE 500
3. Date of Earliest Transaction (MM/DD/YY)
06/06/2016
(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 39,933 ( 1 ) ( 2 ) 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
Stock Options (Right to Buy) $ 7.21 ( 4 ) 02/02/2017( 3 ) 02/02/2025 Common Stock 1,500 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Santoni Thomas E
5433 WESTHEIMER ROAD, SUITE 500
HOUSTON, TX77056
SVP, Operations
Signatures
/s/Gail D. Makode, Attorney-in-Fact 06/16/2016
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Includes 900 shares of restricted stock granted on May 12, 2006 pursuant to the 2006 Equity Incentive Plan of IES Holdings, Inc. (formerly known as Integrated Electrical Services, Inc.) (the "Company"), as amended on October 9, 2007 (the "Plan"), which vested in full on September 15, 2006; includes 208 shares of the Company's common stock reclassified in 2008 by the Company in connection with the Company's 2006 reorganization; includes 8,000 shares of restricted stock granted pursuant to the Plan on September 28, 2010, which vested in full on September 28, 2012; includes 10,000 shares of restricted stock granted pursuant to the Plan on December 16, 2010, of which 3,334 shares vested on each of December 16, 2011 and December 16, 2012 and 3,332 shares vested on December 16, 2013, and of which 1,762 shares were forfeited to satiafy tax withholding obligations.
( 2 )Includes 3,926 shares of the Company's common stock issued upon exercise of subscription rights in connection with the Company's 2014 rights offering; includes 12,500 shares of restricted stock granted on April 1, 2015 pursuant to the Plan, which will vest on April 1, 2018; and includes 6,161 shares of the Company's common stock acquired in open market purchases.
( 3 )The date indicated is the vesting date on the second anniversary of the grant date.
( 4 )The price reported in Column 4 reflects the exercise price at which the stock options were granted to the employee pursuant to the Plan.

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).
** 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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