Statement of Changes in Beneficial Ownership (4)
03 3월 2021 - 6:05AM
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
*
Cole Lori A |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice President, Finance |
(Last)
(First)
(Middle)
C/O NCS MULTISTAGE HOLDINGS, INC., 19350 STATE HIGHWAY 249, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/28/2021 |
(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 | 2/28/2021 | | M(1) | | 1432 | A | $0 | 2245 | D | |
Common Stock | 2/28/2021 | | F(1) | | 1432 | D | $38.50 | 813 | D | |
Common Stock | 2/28/2021 | | A | | 1716 | A | $0 | 2529 | D | |
Common Stock | 2/28/2021 | | D | | 30 (2) | D | $38.50 | 2499 | D | |
Common Stock | 3/1/2021 | | D | | 23 (2) | D | $36.31 | 2476 (3) | D | |
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 |
Equivalent Stock Units | (4) | 2/28/2021 | | A | | 1716 | | (5) | (5) | Common Stock | 1716 | $0 | 5910 | D | |
Equivalent Stock Units | (4) | 2/28/2021 | | M (1) | | | 1432 | (5) | (5) | Common Stock | 1432 | $0 | 4478 | D | |
Explanation of Responses: |
(1) | Equivalent stock units vested on February 28, 2021 and settled for cash. |
(2) | These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units. |
(3) | Includes 100 restricted stock units which vest on February 28, 2022, 33 restricted stock units which vest in two equal annual installments beginning on April 1, 2021 and 1,716 restricted stock units which vest in three equal annual installments beginning on February 28, 2022. |
(4) | These 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 the maximum payout established by the Compensation, Nominating and Governance Committee. |
(5) | Includes 100 equivalent stock units which vest on February 28, 2022, 2,662 equivalent stock units which vest in two equal annual installments beginning on February 28, 2022 and 1,716 equivalent stock units which vest in three equal annual installments beginning on February 28, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cole Lori A C/O NCS MULTISTAGE HOLDINGS, INC. 19350 STATE HIGHWAY 249, SUITE 600 HOUSTON, TX 77070 |
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| Vice President, Finance |
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Signatures
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/s/ Ori Lev, attorney-in-fact | | 3/2/2021 |
**Signature of Reporting Person | Date |
NCS Multistage (NASDAQ:NCSM)
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부터 6월(6) 2024 으로 7월(7) 2024
NCS Multistage (NASDAQ:NCSM)
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부터 7월(7) 2023 으로 7월(7) 2024