SEC Form 4 · accession 0001562762-18-000173
NCS Multistage Holdings, Inc. · NCSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Trautner
Officer — EVP,General Counsel & Secy
Period of report
May 18, 2018
Accepted (ET)
May 21, 2018 · 11:44 am 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 18, 2018 | X | 5,451 | $9.56 | D | 33,561 | D | |
| Common StockF2,F1 | May 18, 2018 | S | 5,451 | $17.56 | D | 28,110 | D |
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)F3 | $9.56 | May 18, 2018 | X | 5,451 | A | — | Jul 25, 2026 | Common Stock | 5,451 | 16,662 | D |
Explanation of responses
- F1Includes 16,416 restricted stock units which vest in three equal annual installments beginning on March 1, 2019 and 11,694 restricted stock units which vest in three equal annual installments beginning on August 24, 2018.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.50 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 this footnote.
- F3Consists of 5,760 options that vest and become exercisable in four equal annual installments beginning on July 25, 2018 and 10,902 options that vest and become exercisable in two equal annual installments beginning on May 3, 2019.