UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 15
CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION
UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934
OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Commission File Number 001-13783
IES HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
5433 Westheimer Road, Suite 500
Houston, Texas 77056
(713) 860-1500
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
Rights to Purchase Preferred Stock
(Title of each class of securities covered by this Form)
Common Stock, par value $0.01 per share
(Titles of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)
Please place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file reports:
| Rule 12g-4(a)(1) |
☒ | |
| Rule 12g-4(a)(2) |
☐ | |
| Rule 12h-3(b)(1)(i) |
☒ | |
| Rule 12h-3(b)(1)(ii) |
☐ | |
| Rule 15d-6 |
☐ |
Approximate number of holders of record as of the certification or notice date: 0*
| * | The Rights to Purchase Preferred Stock expired on May 21, 2021 pursuant to the terms of that certain Tax Benefit Protection Plan Agreement, dated as of November 8, 2016 (the Plan), as amended by Amendment No. 1 to Tax Benefit Protection Plan Agreement, dated May 7, 2021 (the Amendment), by and between the Company and American Stock Transfer & Trust Company, LLC, as rights agent. A copy of the Plan was filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission (the SEC) on November 9, 2016. A copy of the Amendment was filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed with the SEC on May 10, 2021. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has caused this certification/notice to be signed on its behalf by the undersigned duly authorized person.
| Date: May 24, 2021 | IES HOLDINGS, INC. | |||
| By: | /s/ Mary K. Newman | |
| Mary K. Newman | ||
| Vice President, General Counsel and Corporate Secretary | ||