SEC Form 4 · accession 0001562762-19-000053
NCS Multistage Holdings, Inc. · NCSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ryan Hummer
Officer — Chief Financial Officer
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 4:03 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 | Feb 28, 2019 | A | 43,574 | $0.00 | A | 130,583 | D | |
| Common StockF3,F1,F2 | Mar 1, 2019 | F | 2,231 | $5.41 | D | 128,352 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Equivalent Stock UnitsF4,F5 | — | Feb 28, 2019 | A | 14,525 | A | — | — | Common Stock | 14,525 | 14,525 | D |
Explanation of responses
- F1Includes 12,127 restricted stock units which vest in two equal annual installments beginning on August 24, 2019, 15,048 restricted stock units which vest in two equal annual installments beginning on March 1, 2020 and 43,574 restricted stock units which vest in three equal annual installments beginning on February 28, 2020.
- F2Includes 2,259 shares acquired under the Issuer's employee stock purchase plan on December 31, 2018.
- F3These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.
- F4These equivalent stock units settle in cash and represent the economic equivalent of one share of common stock, provided that the amount of cash settled for any equivalent stock unit will not exceed two times the common stock price on the day before the date of grant.
- F5Vest in in three equal annual installments beginning on February 28, 2020.