SEC Form 4 · accession 0001562762-18-000389
NCS Multistage Holdings, Inc. · NCSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John D Deane
Director
Period of report
Dec 11, 2018
Accepted (ET)
Dec 13, 2018 · 12:09 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 | Dec 11, 2018 | P | 20,000 | $6.46 | A | 85,902 | D | |
| Common StockF3 | holding | — | — | — | 214,632 | I | By Family Partners Limited |
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 $6.22 to $6.50. 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.
- F2Includes 7,352 vested restricted stock units and 8,550 restricted stock units which vest on March 1, 2019. The restricted stock units settle for shares of common stock on a one-for-one basis within thirty days following the earliest of (i) one year following the termination of the reporting person's service for any reason other than cause, (ii) a change of control or (iii) the fifth anniversary of the grant date.
- F3These securities are held by the Deane Family Partners, Limited, a limited partnership of which the reporting person is the sole general partner. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Family Limited Partnership except to the extent of his pecuniary interest therein.