SEC Form 4 · accession 0001562762-18-000247
NCS Multistage Holdings, Inc. · NCSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Trautner
Officer — Chief Legal Officer & Secy
Period of report
Aug 10, 2018
Accepted (ET)
Aug 14, 2018 · 12:48 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 | Aug 10, 2018 | X | 400 | $9.56 | A | 28,510 | D | |
| Common StockF1 | Aug 10, 2018 | S | 400 | $16.65 | 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)F2 | $9.56 | Aug 10, 2018 | X | 400 | D | — | Jul 25, 2026 | Common Stock | 400 | 16,262 | 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.
- F2Includes 1,040 vested and exercisable options, 4,320 options that vest and become exercisable in three equal annual installments beginning on July 25, 2019 and 10,902 options that vest and become exercisable in two equal annual installments beginning on May 3, 2019.