IES Holdings Director David Gendell Files Form 4/A for Retainer PSUs and Indirect Holding Disclosures
IES Holdings, Inc.
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Filing Summary
# SEC Form 4/A: IES Holdings, Inc. ($IESC)
**Insider:** David B. Gendell (Director)
**Filing Date:** October 2, 2026 | **Transaction Date:** October 1, 2026
### Transaction Summary
- **Type:** Grant / Award (Phantom Stock Units in lieu of retainer fees)
- **Shares:** 79
- **Price:** $0.00
- **Total Direct Ownership After:** 141,721 shares
- **Amendment Notes:** Added omitted indirect holdings: 80,000 shares (Family Trust) and 12,000 shares (IRA)
**Significance:** Low (Routine director equity retainer fee grant and administrative correction)
Comprehensive Analysis
Executive Summary
On October 2, 2026, IES Holdings, Inc. ($IESC) Director David B. Gendell filed an amended Form 4 (Form 4/A) with the SEC. The filing reports the acquisition of 79 Phantom Stock Units (PSUs) granted in lieu of cash/common stock for board retainer fees on October 1, 2026, and corrects an administrative omission from the initial filing by disclosing indirect holdings totaling 92,000 shares.
Transaction Details
- Nature of Transaction: Director retainer compensation award (Transaction Code
A). - Security: Common Stock (Phantom Stock Units convertible one-to-one into common stock upon separation from the board or a change of control).
- Shares Acquired: 79 units at $0.00 cost basis.
- Direct Post-Transaction Holdings: 141,721 shares/units.
Amendment Purpose
The amendment was submitted to report two indirect holdings omitted from the initial Form 4 due to administrative error:
- 80,000 shares held indirectly via Family Trust.
- 12,000 shares held indirectly via IRA.
Market Impact & Significance
This filing carries Low trading significance. The reported transaction consists solely of routine equity retainer compensation for board service, alongside administrative corrections to reflect pre-existing indirect beneficial ownership positions.
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