SEC FORM
4
SEC Form 4
| FORM 4 |
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
or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
 |
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
| C/O TONTINE CAPITAL MANAGEMENT L.L.C. |
| 55 RAILROAD AVENUE |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
INTEGRATED ELECTRICAL SERVICES INC
[ IESC ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year)
01/03/2007
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
| X |
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock, par value $.01 per share |
01/03/2007 |
|
P |
|
155,300 |
A |
$18.02
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5,395,185 |
I |
See Footnote (1)
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
1. Name and Address of Reporting Person*
| C/O TONTINE CAPITAL MANAGEMENT L.L.C. |
| 55 RAILROAD AVENUE |
(Street)
|
1. Name and Address of Reporting Person*
| C/O TONTINE CAPITAL MANAGEMENT LLC LP |
| 55 RAILROAD AVENUE 3RD FL |
(Street)
|
1. Name and Address of Reporting Person*
| C/O TORTINE PARTNERS LP |
| 55 RAILRAOD AVENUE 3RD FL |
(Street)
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1. Name and Address of Reporting Person*
| 55 RAILROAD AVENUE 3RD FLOOR |
|
(Street)
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1. Name and Address of Reporting Person*
| 55 RAILROAD AVENUE 3RD FLOOR |
|
(Street)
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| Explanation of Responses: |
|
|
/*/ Jeffrey L. Gendell |
01/05/2007 |
|
** Signature of Reporting Person |
Date |
| 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). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| 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 Number. |
EXHIBIT 99.1
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Joint Filer Information
-----------------------
Name of Joint Filer: Tontine Capital Partners, L.P.
Address of Joint Filer: 55 Railroad Avenue, 3rd Floor
Greenwich, CT 06830
Relationship of Joint Filer
to Issuer: 10% Owner
Designated Filer: Jeffrey L. Gendell
Issuer & Ticker Symbol: Integrated Electrical Services, Inc.
(IESC)
Date of Event Requiring Statement: January 3, 2007
SIGNATURE:
Tontine Capital Partners, L.P.
By: Tontine Capital Management, L.L.C., its general partner
By: /s/ Jeffrey L. Gendell
---------------------------------------
Name: Jeffrey L. Gendell
Title: Managing Member
January 5, 2007
- ---------------
Date
Joint Filer Information
-----------------------
Name of Joint Filer: Tontine Capital Management, L.L.C.
Address of Joint Filer: 55 Railroad Avenue, 3rd Floor
Greenwich, CT 06830
Relationship of Joint Filer
to Issuer: 10% Owner
Designated Filer: Jeffrey L. Gendell
Issuer & Ticker Symbol: Integrated Electrical Services, Inc.
(IESC)
Date of Event Requiring Statement: January 3, 2007
SIGNATURE:
Tontine Capital Management, L.L.C.
By: /s/ Jeffrey L. Gendell
---------------------------------------
Name: Jeffrey L. Gendell
Title: Managing Member
January 5, 2007
- ---------------
Date
Joint Filer Information
-----------------------
Name of Joint Filer: Tontine Partners, L.P.
Address of Joint Filer: 55 Railroad Avenue, 3rd Floor
Greenwich, CT 06830
Relationship of Joint Filer
to Issuer: 10% Owner
Designated Filer: Jeffrey L. Gendell
Issuer & Ticker Symbol: Integrated Electrical Services, Inc.
(IESC)
Date of Event Requiring Statement: January 3, 2007
SIGNATURE:
Tontine Partners, L.P.
By: Tontine Management, L.L.C. ., its general partner
By: /s/ Jeffrey L. Gendell
---------------------------------------
Name: Jeffrey L. Gendell
Title: Managing Member
January 5, 2007
- ---------------
Date
Joint Filer Information
-----------------------
Name of Joint Filer: Tontine Management, L.L.C.
Address of Joint Filer: 55 Railroad Avenue, 3rd Floor
Greenwich, CT 06830
Relationship of Joint Filer
to Issuer: 10% Owner
Designated Filer: Jeffrey L. Gendell
Issuer & Ticker Symbol: Integrated Electrical Services, Inc.
(IESC)
Date of Event Requiring Statement: January 3, 2007
SIGNATURE:
Tontine Management, L.L.C.
By: /s/ Jeffrey L. Gendell
---------------------------------------
Name: Jeffrey L. Gendell
Title: Managing Member
January 5, 2007
- ---------------
Date
EXIBIT 99.2
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Footnote
--------
(1) Jeffrey L. Gendell ("Mr. Gendell") is the managing member of Tontine
Capital Overseas GP, L.L.C., a Delaware limited liability company ("TCO"),
the general partner of Tontine Capital Overseas Master Fund, L.P., a Cayman
Islands limited partnership ("TMF"). Mr. Gendell is the managing member of
Tontine Capital Management, L.L.C. ("TCM"), a Delaware limited liability
company, the general partner of Tontine Capital Partners, L.P., a Delaware
limited partnership ("TCP"). Mr. Gendell is the managing member of Tontine
Management, L.L.C. ("TM"), a Delaware limited liability company, the
general partner of Tontine Partners, L.P., a Delaware limited partnership
("TP"). Mr. Gendell is also the managing member of Tontine Overseas
Associates, L.L.C., a Delaware limited liability company ("TOA"), the
investment adviser to Tontine Overseas Fund, Ltd., a Cayman Islands
corporation ("TOF"). Mr. Gendell directly owns 7,916 shares of Common
Stock. TMF directly owns 249,872 shares of Common Stock. TCP directly owns
3,023,691 shares of Common Stock. TP directly owns 1,945,992 shares of
Common Stock. TOF directly owns 167,714 shares of Common Stock. All of the
foregoing shares of Common Stock may be deemed to be beneficially owned by
Mr. Gendell. Mr. Gendell disclaims beneficial ownership of the Issuer's
securities reported herein for purposes of Section 16(a) under the
Securities Exchange Act of 1934, as amended, or otherwise, except as to
securities directly owned by Mr. Gendell or representing Mr. Gendell's pro
rata interest in, and interest in the profits of, TCO, TMF, TCM, TCP, TP,
TM, TOA and TOF.
