SEC Form 4 · accession 0001562762-18-000093

NCS Multistage Holdings, Inc. · NCSM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President · Director

Period of report

Mar 13, 2018

Accepted (ET)

Mar 15, 2018 · 2:05 pm EDT

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^F1	Mar 13, 2018	X	7,253	$1.24	A	31,672	D
Common Stock^F2,F1	Mar 13, 2018	S	7,253	$17.39	D	24,419	D
Common Stock^F1	Mar 14, 2018	X	31,900	$1.24	A	56,319	D
Common Stock^F4,F1	Mar 14, 2018	S	31,900	$16.60	D	24,419	D
Common Stock^F1	Mar 14, 2018	X	71,325	$1.24	A	95,744	D
Common Stock^F5,F1	Mar 14, 2018	S	71,325	$16.02	D	24,419	D
Common Stock^F3	holding	—	—		—	221,156	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option (right to buy)^F6	$1.24	Mar 13, 2018	X	7,253	D	—	Jan 1, 2019	Common Stock	7,253	234,862	D
Option (right to buy)^F6	$1.24	Mar 14, 2018	X	31,900	D	—	Jan 1, 2019	Common Stock	31,900	202,962	D
Option (right to buy)^F6	$1.24	Mar 14, 2018	X	71,325	D	—	Jan 1, 2019	Common Stock	71,325	131,637	D
Option (right to buy)^F7	$5.88	holding	—	—	—	—	Dec 21, 2022	Common Stock	251,133	251,133	D

F1Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.
F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.30 to $17.75. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4) and (5) to this Form 4.
F3The shares are held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by Mr. Stromquist.
F4The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 to $17.18.
F5The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.10.
F6These options have vested and are exercisable.
F7Consists of 100,452 vested and exercisable options and 150,681 options that vest and become exercisable in three equal annual installments beginning on May 3, 2018.