Statement of Changes in Beneficial Ownership (4)
12 11월 2019 - 8:07PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Stromquist Marty |
2. Issuer Name and Ticker or Trading Symbol
NCS Multistage Holdings, Inc.
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NCSM
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President |
(Last)
(First)
(Middle)
C/O NCS MULTISTAGE HOLDINGS, INC., 19450 STATE HIGHWAY 249, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/7/2019 |
(Street)
HOUSTON, TX 77070
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/7/2019 | | P | | 4300 | A | $2.25 | 112903 (1) | D | |
Common Stock | 11/8/2019 | | P | | 316 | A | $2.25 | 113219 (1) | D | |
Common Stock | | | | | | | | 663468 (2) | I | By Corporation (2) |
Common Stock | | | | | | | | 113443 (3) | I | See Footnote (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Includes 16,279 restricted stock units which vest in two equal annual installments beginning on March 1, 2020 and 47,139 restricted stock units which vest in three equal annual installments beginning on February 28, 2020. |
(2) | Held by Stromquist Technologies Inc., a corporation of which the Reporting Person is a controlling shareholder. The Reporting Person disclaims beneficial ownership of the Issuer's securities held by Stromquist Technologies Inc. except to the extent of his pecuniary interest therein. |
(3) | Held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the Issuer's securities held by Cemblend Systems Inc. except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stromquist Marty C/O NCS MULTISTAGE HOLDINGS, INC. 19450 STATE HIGHWAY 249, SUITE 200 HOUSTON, TX 77070 | X |
| President |
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Signatures
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Kevin Trautner, attorney-in-fact | | 11/12/2019 |
**Signature of Reporting Person | Date |
NCS Multistage (NASDAQ:NCSM)
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NCS Multistage (NASDAQ:NCSM)
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