SEC Form 4 · accession 0001562762-18-000161
NCS Multistage Holdings, Inc. · NCSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marty Stromquist
Officer — President · Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 12:05 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 StockF1 | May 10, 2018 | X | 12,965 | $1.24 | A | 37,384 | D | |
| Common StockF2,F1 | May 10, 2018 | S | 12,965 | $17.00 | D | 24,419 | D | |
| Common StockF1 | May 11, 2018 | X | 118,672 | $1.24 | A | 143,091 | D | |
| Common StockF3,F1 | May 11, 2018 | S | 118,672 | $17.06 | D | 24,419 | D | |
| Common StockF4 | holding | — | — | — | 221,156 | I | See Footnote |
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)F5 | $1.24 | May 10, 2018 | X | 12,965 | D | — | Jan 1, 2019 | Common Stock | 12,965 | 118,672 | D |
| Option (right to buy)F5 | $1.24 | May 11, 2018 | X | 118,672 | D | — | Jan 1, 2019 | Common Stock | 118,672 | 0 | D |
| Option (right to buy)F6 | $5.88 | holding | — | — | — | — | Dec 21, 2022 | Common Stock | 251,133 | 251,133 | D |
Explanation of responses
- 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 $17.00 to $17.05. 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) and (3) to this Form 4.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.16.
- F4The shares are held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by Mr. Stromquist.
- F5These options have vested and are exercisable.
- F6Consists of 150,679 vested and exercisable options and 100,454 options that vest and become exercisable in two equal annual installments beginning on May 3, 2019.