SEC Form 4 · accession 0001562762-18-000249
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
Aug 10, 2018
Accepted (ET)
Aug 14, 2018 · 12:52 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 | Aug 10, 2018 | X | 6,082 | $1.24 | A | 46,082 | I | By Revocable Trust |
| Common StockF1 | Aug 10, 2018 | S | 6,082 | $16.30 | D | 40,000 | I | By Revocable Trust |
| Common Stock | Aug 13, 2018 | X | 6,668 | $1.24 | A | 46,668 | I | By Revocable Trust |
| Common StockF2 | Aug 13, 2018 | S | 6,668 | $16.25 | D | 40,000 | I | By Revocable Trust |
| Common StockF3 | holding | — | — | — | 10,602 | 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)F4 | $1.24 | Aug 10, 2018 | X | 6,082 | D | — | Feb 9, 2019 | Common Stock | 6,082 | 10,000 | I |
| Option (right to buy)F4 | $1.24 | Aug 13, 2018 | X | 6,668 | D | — | Feb 9, 2019 | Common Stock | 6,668 | 3,332 | I |
| Option (right to buy)F5 | $5.88 | holding | — | — | — | — | Dec 21, 2022 | Common Stock | 9,021 | 9,021 | I |
| Option (right to buy)F6 | $5.88 | holding | — | — | — | — | Apr 3, 2023 | Common Stock | 28,500 | 28,500 | I |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.25 to $16.65. 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 (1) and (2) to this Form 4.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.15 to $16.40.
- F3Includes 10,602 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.
- F4These options have vested and are exercisable.
- F5Includes 5,413 vested and exercisable options and 3,608 options that vest and become exercisable in two equal annual installments beginning on May 3, 2019.
- F6Includes 17,100 vested and exercisable options and 11,400 options that vest and become exercisable in two equal annual installments beginning on May 3, 2019.