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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 5.76 | 04/18/2016 | M | 8,547 | 05/01/2013(2)(4) | 05/01/2023 | Common Stock | 8,547 | $ 0 (5) | 16,453 | D | ||||
Stock Option (Right to Buy) | $ 5.76 | 04/19/2016 | M | 3,953 | 05/01/2013(2)(4) | 05/01/2023 | Common Stock | 3,953 | $ 0 (5) | 12,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Makode Gail D ONE SOUND SHORE DR, SUITE 304 GREENWICH, CT 06830 |
SVP, GC & Secretary |
/s/Gail D. Makode | 04/20/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents common stock received from the exercise of stock options granted pursuant to the Integrated Electrical Services, Inc. 2006 Equity Incentive Plan (as amended and restated). |
(2) | The exercise of options and sale of shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in March 2016. |
(3) | The price reported in Column 4 for 4/18/2016 entry is a weighted average price for shares sold in multiple transactions at prices ranging from $14.50 to $14.64, inclusive. The reporting person undertakes to provide to IES, any security holder of IES, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(4) | The date indicated is the first vesting date for all Column 6 transactions. All options traded on 4/18/2016 and 4/19/2016, with an exercise price of $5.76, vested on the second anniversary of the grant date. |
(5) | The price reported in Column 8 reflects that the stock options were granted to the employee pursuant to the Integrated Electrical Services, Inc. 2006 Equity Incentive Plan (as amended and restated). |