16 unchanged sentences
Other Information
+Added: Rule 10b5-1 Trading Arrangements
+Added: From time to time, members of the Company's Board of Directors and officers of the Company may enter into Rule 10b5-1 trading plans, which allow for the purchase or sale of common stock under pre-established terms at times when directors and officers might otherwise be prevented from trading under insider trading laws or because of self-imposed blackout periods.
+Added: Such trading plans are intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act and comply with the Company's Insider Trading Policy.
+Added: Other than as described below, during the three months ended September 30 , 2023 , none of the Company’s directors or officers adopted or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408 of Regulation S-K.
+Added: On August 31, 2023 , Jeffrey L.
+Added: Gendell , Chairman and Chief Executive Officer of the Company, adopted a Rule 10b5-1 trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
+Added: Gendell’s plan, which provides for the potential sale of up to 200,000 shares of the Company’s common stock, expires upon the earlier of August 15, 2024 and the date all shares subject to the plan have been sold.
Directors, Executive Officers and Corporate Governance
39 unchanged sentences
and certain of its affiliates (Incorporated by reference to Exhibit 10.24 to the Company’s Annual Report on Form 10-K filed December 14, 2012)
−Removed: 4.4 — Description of Registrant's Securities (1)
+Added: Description of Registrant' s Securitie s
10.1 — Agreement of Indemnity, dated May 7, 2010, by Integrated Electrical Services, Inc.
16 unchanged sentences
10.7— Amendment No.
−Removed: 1 to Third Amended Restated Credit and Security Agreement, dated April 28, 2022 by and among IES Holdings, Inc., each of the other Borrowers and Guarantors named therein, Wells Fargo Bank, National Association, as Administrative Agent, and Fifth Third Bank, National Association (1)
+Added: 1 to Third Amended Restated Credit and Security Agreement, dated April 28, 2022 by and among IES Holdings, Inc., each of the other Borrowers and Guarantors named therein, Wells Fargo Bank, National Association, as Administrative Agent, and Fifth Third Bank, National Association (Incorporated by reference to Exhibit 10.7 to t h e Company's Annual Report on Form 10-K filed December 6 , 2022 )
10.8 — Sublease Agreement between Tontine Associates, L.L.C.
8 unchanged sentences
A copy of the omitted exhibit will be furnished to the SEC upon request.) (Incorporated by reference to Exhibit 10.20 to the Company's Annual Report on Form 10-K filed December 6, 2019)
+Added: Fourth Amendment , dated as of December 15 , 2 022, to Sublease Agreement, dated as of March 29, 20 12 and amend ed as of March 31, 2016, May 1, 2019 and November 5, 2019, between Tontine Associates, L.L.C.
+Added: and IES Management ROO, LP.
Board Observer Letter Agreement between Tontine Associates, L.L.C.
9 unchanged sentences
Form of Restricted Stock Award Agreement under the Company’s Amended and Restated 2006 Equity Incentive Plan (as of February 9, 2016) (Incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q filed May 9, 2016)
−Removed: 10.20 — Performance-Based Phantom Stock Unit Award Agreement, dated as of June 6, 2016, by and between the Company and Mr.
−Removed: Santoni, under the Company’s Amended and Restated 2006 Equity Incentive Plan (as of February 9, 2016) (Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed June 7, 2016)
−Removed: 10.21 — Performance-Based Phantom Cash Unit Award Agreement, dated as of June 6, 2016, by and between the Company and Mr.
−Removed: Santoni, under the Company’s Amended and Restated 2006 Equity Incentive Plan (as of February 9, 2016) (Incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed June 7, 2016)
Amended and Restated 2009 Deferred Compensation Plan (Incorporated by reference to Exhibit 10.33 to the Company’s Annual Report on Form 10-K filed December 15, 2008)
29 unchanged sentences
McLauchlin, Chief Financial Officer
−Removed: 101.INS Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document (1)
−Removed: 101.SCH Inline XBRL Schema Document (1)
−Removed: 101.LAB Inline XBRL Label Linkbase Document (1)
−Removed: 101.PRE Inline XBRL Presentation Linkbase Document (1)
−Removed: 101.DEF Inline XBRL Definition Linkbase Document (1)
−Removed: 101.CAL Inline XBRL Calculation Linkbase Document (1)
+Added: Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document
+Added: Inline XBRL Schema Document
+Added: Inline XBRL Label Linkbase Document
+Added: Inline XBRL Presentation Linkbase Document
+Added: Inline XBRL Definition Linkbase Document
+Added: Inline XBRL Calculation Linkbase Document
104 — Cover Page Interactive Data File - the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document
−Removed: * Management contracts or compensatory plans or arrangements required to be filed herewith pursuant to Item 15(a)(3) of this Annual Report on Form 10-K.
+Added: * Management contracts or compensatory plans or arrangement.
(1) Filed herewith.
17 unchanged sentences
McLauchlin (Principal Financial Officer)
−Removed: /s/ Alison M.
−Removed: Petersen Vice President, Chief Accounting Officer December 6, 2022
−Removed: Petersen (Principal Accounting Officer)
+Added: (Principal Accounting Officer)
Cleveland Director December 7, 2023
7 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.