SEC Form 4 · accession 0001562762-18-000344
NCS Multistage Holdings, Inc. · NCSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Nipper
Officer — Chief Executive Officer · Director
Period of report
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 4:20 pm EST
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,F2 | Nov 9, 2018 | P | 62,955 | $7.55 | A | 1,834,881 | I | By Family Limited Partnership |
| Common StockF3 | holding | — | — | — | 235,267 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.01 to $7.78. 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 purchased at each separate price within the ranges set forth in this footnote.
- F2These securities are held by the Nipper Family Limited Partnership, a limited partnership of which the reporting person is the trustee of the sole general partner, Nipper Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Nipper Family Limited Partnership except to the extent of his pecuniary interest therein.
- F3Includes 50,017 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.