SEC Form 4 · accession 0001562762-18-000018
NCS Multistage Holdings, Inc. · NCSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wade Bitter
Officer — CAO & Treasurer
Period of report
Jan 12, 2018
Accepted (ET)
Jan 16, 2018 · 6:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001692427
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 12, 2018 | X | 29,500 | $1.24 | A | 40,000 | I | By Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F1 | $1.24 | Jan 12, 2018 | X | 29,500 | D | — | Feb 9, 2019 | Common Stock | 29,500 | 16,082 | I |
| Option (right to buy)F1 | $5.88 | holding | — | — | — | — | Dec 21, 2022 | Common Stock | 3,609 | 3,609 | I |
| Option (right to buy)F2 | $5.88 | holding | — | — | — | — | Dec 21, 2022 | Common Stock | 5,412 | 5,412 | I |
| Option (right to buy)F3 | $5.88 | holding | — | — | — | — | Apr 3, 2023 | Common Stock | 11,400 | 11,400 | I |
| Option (right to buy)F2 | $5.88 | holding | — | — | — | — | Apr 3, 2023 | Common Stock | 17,100 | 17,100 | I |
Explanation of responses
- F1These options have vested and are exercisable.
- F2These options vest and become exercisable in three equal annual installments beginning on May 3, 2018.
- F3Consists of 9,120 vested and exercisable options and 2,280 options that become vested and exercisable on April 3, 2018.