SEC Form 4 · accession 0001562762-19-000057

NCS Multistage Holdings, Inc. · NCSM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Feb 28, 2019

Accepted (ET)

Mar 4, 2019 · 4:10 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 Stock^F1	Feb 28, 2019	A	96,556	$0.00	A	331,823	D
Common Stock^F2,F1	Mar 1, 2019	F	4,533	$5.41	D	327,290	D
Common Stock^F3	holding	—	—		—	1,834,881	I	By Family Limited Partnership

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Equivalent Stock Units^F4,F5	—	Feb 28, 2019	A	32,185	A	—	—	Common Stock	32,185	32,185	D

F1Includes 33,344 restricted stock units which vest in two equal annual installments beginning on March 1, 2020 and 96,556 restricted stock units which vest in three equal annual installments beginning on February 28, 2020.
F2These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.
F3These 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.
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.