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Nasdaq · USD

NCSM

NCS Multistage Holdings, Inc.

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6562
SEC CIK
0001692427
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241

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0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Dec 202500
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 11, 2018 Filed May 14, 2018 12:05 UTC
Stromquist MartyDirector · President
SaleCommon Stock 118,672 $17.06 $2,024,544.32
Disclosure

SEC source: 0001562762-18-000161 · certent-form4.xml · nonDerivative · entry 4

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,419

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.16.

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
May 11, 2018 Filed May 14, 2018 12:05 UTC
Stromquist MartyDirector · President
OtherCommon Stock 118,672 $1.24 $147,153.28
Disclosure

SEC source: 0001562762-18-000161 · certent-form4.xml · nonDerivative · entry 3

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,091

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
May 10, 2018 Filed May 14, 2018 12:05 UTC
Stromquist MartyDirector · President
OtherOption (right to buy) · Derivative 12,965 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000161 · certent-form4.xml · derivative · entry 6

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,672

Underlying: Common Stock · 12,965 shares

Expires 2019-01-01

F5 · derivative.exercise_date: These options have vested and are exercisable.

Read SEC document
May 10, 2018 Filed May 14, 2018 12:05 UTC
Stromquist MartyDirector · President
SaleCommon Stock 12,965 $17.00 $220,405.00
Disclosure

SEC source: 0001562762-18-000161 · certent-form4.xml · nonDerivative · entry 2

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,419

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.05. 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 sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
May 10, 2018 Filed May 14, 2018 12:05 UTC
Stromquist MartyDirector · President
OtherCommon Stock 12,965 $1.24 $16,076.60
Disclosure

SEC source: 0001562762-18-000161 · certent-form4.xml · nonDerivative · entry 1

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,384

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 18:13 UTC
Willems TimChief Operations Officer
OtherOption (right to buy) · Derivative 21,235 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000097 · certent-form4.xml · derivative · entry 4

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 21,235 shares

Expires 2019-01-09

F4 · derivative.exercise_date: These options have vested and are exercisable.

F3 · ownership.nature: Consists of 22,572 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 18:13 UTC
Willems TimChief Operations Officer
SaleCommon Stock 21,235 $15.77 $334,875.95
Disclosure

SEC source: 0001562762-18-000097 · certent-form4.xml · nonDerivative · entry 2

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Limited Partnership

Disclosed balance after: 547,259

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.51 to $16.50. 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 sold at each separate price within the ranges set forth in this footnote.

F1 · balance_after: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

F1 · ownership.nature: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 18:13 UTC
Willems TimChief Operations Officer
OtherCommon Stock 21,235 $1.24 $26,331.40
Disclosure

SEC source: 0001562762-18-000097 · certent-form4.xml · nonDerivative · entry 1

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Limited Partnership

Disclosed balance after: 568,494

F1 · balance_after: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

F1 · ownership.nature: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
OtherOption (right to buy) · Derivative 71,325 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · derivative · entry 10

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,637

Underlying: Common Stock · 71,325 shares

Expires 2019-01-01

F6 · derivative.exercise_date: These options have vested and are exercisable.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
OtherOption (right to buy) · Derivative 31,900 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · derivative · entry 9

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,962

Underlying: Common Stock · 31,900 shares

Expires 2019-01-01

F6 · derivative.exercise_date: These options have vested and are exercisable.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
SaleCommon Stock 71,325 $16.02 $1,142,626.50
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · nonDerivative · entry 6

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,419

F5 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.10.

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
OtherCommon Stock 71,325 $1.24 $88,443.00
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · nonDerivative · entry 5

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,744

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
SaleCommon Stock 31,900 $16.60 $529,540.00
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · nonDerivative · entry 4

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,419

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 to $17.18.

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
OtherCommon Stock 31,900 $1.24 $39,556.00
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · nonDerivative · entry 3

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,319

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
OtherOption (right to buy) · Derivative 7,253 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · derivative · entry 8

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,862

Underlying: Common Stock · 7,253 shares

Expires 2019-01-01

F6 · derivative.exercise_date: These options have vested and are exercisable.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
SaleCommon Stock 7,253 $17.39 $126,129.67
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · nonDerivative · entry 2

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,419

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.30 to $17.75. 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 sold at each separate price within the ranges set forth in footnotes (2), (4) and (5) to this Form 4.

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 14:05 UTC
Stromquist MartyDirector · President
OtherCommon Stock 7,253 $1.24 $8,993.72
Disclosure

SEC source: 0001562762-18-000093 · certent-form4.xml · nonDerivative · entry 1

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,672

F1 · balance_after: Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 18:08 UTC
Trautner KevinEVP,General Counsel & Secy
OtherOption (right to buy) · Derivative 1,440 $0.00 Strike: $9.56 $0.00
Disclosure

SEC source: 0001562762-18-000095 · certent-form4.xml · derivative · entry 3

Trautner Kevin · CIK 0001701195 · EVP,General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,113

Underlying: Common Stock · 1,440 shares

Expires 2026-07-25

F3 · derivative.exercise_date: Consists of 1,440 vested and exercisable options, 5,760 options that vest and become exercisable in four equal annual installments beginning on July 25, 2018 and 16,353 options that vest and become exercisable in three equal annual installments beginning on May 3, 2018.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 18:08 UTC
Trautner KevinEVP,General Counsel & Secy
SaleCommon Stock 1,440 $17.67 $25,444.80
Disclosure

SEC source: 0001562762-18-000095 · certent-form4.xml · nonDerivative · entry 2

Trautner Kevin · CIK 0001701195 · EVP,General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,510

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.54 to $17.75. 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 sold at each separate price within the ranges set forth in this footnote.

F1 · balance_after: Includes 16,416 restricted stock units which vest in three equal annual installments beginning on March 1, 2019 and 11,694 restricted stock units which vest in three equal annual installments beginning on August 24, 2018.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 18:08 UTC
Trautner KevinEVP,General Counsel & Secy
OtherCommon Stock 1,440 $9.55 $13,752.00
Disclosure

SEC source: 0001562762-18-000095 · certent-form4.xml · nonDerivative · entry 1

Trautner Kevin · CIK 0001701195 · EVP,General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,950

F1 · balance_after: Includes 16,416 restricted stock units which vest in three equal annual installments beginning on March 1, 2019 and 11,694 restricted stock units which vest in three equal annual installments beginning on August 24, 2018.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:40 UTC
RALLS W MATTDirector
GrantCommon Stock 8,550 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000069 · certent-form4.xml · nonDerivative · entry 1

RALLS W MATT · CIK 0001180365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,784

F1 · balance_after: Includes 8,550 restricted stock units which vest on March 1, 2019, 7,352 restricted stock units which vest on April 27, 2018 and 5,882 restricted stock units which vest in three equal annual installments beginning on April 27, 2018. 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.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:48 UTC
Willems TimChief Operations Officer
GrantPerformance Shares · Derivative 22,572 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000075 · certent-form4.xml · derivative · entry 3

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,572

Underlying: Common Stock · 22,572 shares

Expires 2020-12-31

F3 · derivative.exercise_price: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

F3 · derivative.exercise_date: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:48 UTC
Willems TimChief Operations Officer
GrantCommon Stock 22,572 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000075 · certent-form4.xml · nonDerivative · entry 1

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,572

F1 · balance_after: Consists of restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 16:50 UTC
Bitter WadeCAO & Treasurer
GrantPerformance Shares · Derivative 10,602 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000077 · certent-form4.xml · derivative · entry 3

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,602

Underlying: Common Stock · 10,602 shares

Expires 2020-12-31

F2 · derivative.exercise_price: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

F2 · derivative.exercise_date: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 16:50 UTC
Bitter WadeCAO & Treasurer
GrantCommon Stock 10,602 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000077 · certent-form4.xml · nonDerivative · entry 1

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,602

F1 · balance_after: Consists of restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 16:29 UTC
Stromquist MartyDirector · President
GrantPerformance Shares · Derivative 24,419 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000062 · certent-form4.xml · derivative · entry 3

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,419

Underlying: Common Stock · 24,419 shares

Expires 2020-12-31

F3 · derivative.exercise_price: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

F3 · derivative.exercise_date: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 16:29 UTC
Stromquist MartyDirector · President
GrantCommon Stock 24,419 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000062 · certent-form4.xml · nonDerivative · entry 1

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,419

F1 · balance_after: Consists of restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:45 UTC
Hummer RyanChief Financial Officer
GrantPerformance Shares · Derivative 22,572 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000073 · certent-form4.xml · derivative · entry 2

Hummer Ryan · CIK 0001700226 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,572

Underlying: Common Stock · 22,572 shares

Expires 2020-12-31

F2 · derivative.exercise_price: These performance shares represent a contingent right to receive common stock, based on the issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

F2 · derivative.exercise_date: These performance shares represent a contingent right to receive common stock, based on the issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:45 UTC
Hummer RyanChief Financial Officer
GrantCommon Stock 22,572 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000073 · certent-form4.xml · nonDerivative · entry 1

Hummer Ryan · CIK 0001700226 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,619

F1 · balance_after: Includes 22,572 restricted stock units which vest in three equal annual installments beginning on March 1, 2019 and 18,191 restricted stock units which vest in three equal annual installments beginning on August 24, 2018.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:43 UTC
Nipper RobertDirector · Chief Executive Officer
GrantPerformance Shares · Derivative 50,017 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000071 · certent-form4.xml · derivative · entry 3

Nipper Robert · CIK 0001701187 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,017

Underlying: Common Stock · 50,017 shares

Expires 2020-12-31

F3 · derivative.exercise_price: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

F3 · derivative.exercise_date: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:43 UTC
Nipper RobertDirector · Chief Executive Officer
GrantCommon Stock 50,017 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000071 · certent-form4.xml · nonDerivative · entry 1

Nipper Robert · CIK 0001701187 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,267

F1 · balance_after: Includes 50,017 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:38 UTC GrantCommon Stock 8,550 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000067 · certent-form4.xml · nonDerivative · entry 1

MYERS FRANKLIN · CIK 0001207002 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,784

F1 · balance_after: Consists of 8,550 restricted stock units which vest on March 1, 2019, 7,352 restricted stock units which vest on April 27, 2018 and 5,882 restricted stock units which vest in three equal annual installments beginning on April 27, 2018. 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.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:35 UTC GrantCommon Stock 11,970 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000065 · certent-form4.xml · nonDerivative · entry 1

MCSHANE MICHAEL · CIK 0001236484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347,263

F1 · balance_after: Includes 11,970 restricted stock units which vest on March 1, 2019 and 10,294 restricted stock units which vest on April 27, 2018. 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.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:23 UTC GrantCommon Stock 8,550 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000058 · certent-form4.xml · nonDerivative · entry 1

FITZGERALD MATTHEW D · CIK 0001184451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,784

F1 · balance_after: Consists of 8,550 restricted stock units which vest on March 1, 2019, 7,352 restricted stock units which vest on April 27, 2018 and 5,882 restricted stock units which vest in three equal annual installments beginning on April 27, 2018. 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.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 21:26 UTC
Trautner KevinEVP,General Counsel & Secy
GrantPerformance Shares · Derivative 16,416 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000060 · certent-form4.xml · derivative · entry 2

Trautner Kevin · CIK 0001701195 · EVP,General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,416

Underlying: Common Stock · 16,416 shares

Expires 2020-12-31

F2 · derivative.exercise_price: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

F2 · derivative.exercise_date: These performance shares represent a contingent right to receive common stock, based on the Issuer's relative shareholder return versus that of its peer group. Each performance share will settle for between zero and two shares of common stock in the first quarter of 2021, based on achievement of the performance measure over a three-year period, following certification by the Compensation, Nominating and Governance Committee of the performance results.

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March 01, 2018 Filed Mar 5, 2018 21:26 UTC
Trautner KevinEVP,General Counsel & Secy
GrantCommon Stock 16,416 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000060 · certent-form4.xml · nonDerivative · entry 1

Trautner Kevin · CIK 0001701195 · EVP,General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,510

F1 · balance_after: Includes 16,416 restricted stock units which vest in three equal annual installments beginning on March 1, 2019 and 11,694 restricted stock units which vest in three equal annual installments beginning on August 24, 2018.

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March 01, 2018 Filed Mar 5, 2018 21:20 UTC
DEANE JOHN DDirector
GrantCommon Stock 8,550 $0.00 $0.00
Disclosure

SEC source: 0001562762-18-000056 · certent-form4.xml · nonDerivative · entry 1

DEANE JOHN D · CIK 0001236472 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,902

F1 · balance_after: Includes 8,550 restricted stock units which vest on March 1, 2019 and 7,352 restricted stock units which vest on April 27, 2018. 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.

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February 14, 2018 Filed Feb 14, 2018 19:10 UTC
Stromquist MartyDirector · President
Disposition to issuerExchangeable Share · Derivative 73,718.7 Not disclosed Not disclosed
Disclosure

SEC source: 0001562762-18-000037 · certent-form4.xml · derivative · entry 2

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 221,155.8

Underlying: Common Stock · 221,156 shares

Expires not disclosed

F1 · security: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · derivative.exercise_price: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · price: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · derivative.exercise_date: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · derivative.expiration_date: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F2 · ownership.nature: The shares are held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by Mr. Stromquist.

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February 14, 2018 Filed Feb 14, 2018 19:10 UTC
Stromquist MartyDirector · President
GrantCommon Stock 221,156 Not disclosed Not disclosed
Disclosure

SEC source: 0001562762-18-000037 · certent-form4.xml · nonDerivative · entry 1

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 221,156

F1 · price: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F2 · ownership.nature: The shares are held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by Mr. Stromquist.

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February 09, 2018 Filed Feb 9, 2018 23:01 UTC
Willems TimChief Operations Officer
OtherOption (right to buy) · Derivative 28,000 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000025 · certent-form4.xml · derivative · entry 4

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Limited Partneship

Disclosed balance after: 21,235

Underlying: Common Stock · 28,000 shares

Expires 2019-01-09

F2 · derivative.exercise_date: These options have vested and are exercisable.

F1 · balance_after: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

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February 09, 2018 Filed Feb 9, 2018 23:01 UTC
Willems TimChief Operations Officer
OtherCommon Stock 28,000 $1.24 $34,720.00
Disclosure

SEC source: 0001562762-18-000025 · certent-form4.xml · nonDerivative · entry 2

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Limited Partnership

Disclosed balance after: 547,259

F1 · balance_after: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

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February 07, 2018 Filed Feb 9, 2018 23:01 UTC
Willems TimChief Operations Officer
OtherOption (right to buy) · Derivative 70,000 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000025 · certent-form4.xml · derivative · entry 3

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Limited Partnership

Disclosed balance after: 49,235

Underlying: Common Stock · 70,000 shares

Expires 2019-01-09

F2 · derivative.exercise_date: These options have vested and are exercisable.

F1 · balance_after: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

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February 07, 2018 Filed Feb 9, 2018 23:01 UTC
Willems TimChief Operations Officer
OtherCommon Stock 70,000 $1.24 $86,800.00
Disclosure

SEC source: 0001562762-18-000025 · certent-form4.xml · nonDerivative · entry 1

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Limited Partnership

Disclosed balance after: 519,259

F1 · balance_after: These securities are held by the Willems Family Limited Partnership, a limited partnership of which the reporting person and his spouse are co-trustees of the sole general partner, Willems Family Management Trust. The reporting person disclaims beneficial ownership of the Issuer's securities held by the Willems Family Limited Partnership except to the extent of his pecuniary interest therein.

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January 12, 2018 Filed Jan 16, 2018 18:14 UTC
Bitter WadeCAO & Treasurer
OtherOption (right to buy) · Derivative 29,500 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001562762-18-000018 · certent-form4.xml · derivative · entry 2

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Revocable Trust

Disclosed balance after: 16,082

Underlying: Common Stock · 29,500 shares

Expires 2019-02-09

F1 · derivative.exercise_date: These options have vested and are exercisable.

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January 12, 2018 Filed Jan 16, 2018 18:14 UTC
Bitter WadeCAO & Treasurer
OtherCommon Stock 29,500 $1.24 $36,580.00
Disclosure

SEC source: 0001562762-18-000018 · certent-form4.xml · nonDerivative · entry 1

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Revocable Trust

Disclosed balance after: 40,000

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August 24, 2017 Filed Aug 24, 2017 23:09 UTC
Hummer RyanChief Financial Officer
GrantCommon Stock 18,191 $0.00 $0.00
Disclosure

SEC source: 0001562762-17-000145 · certent-form4.xml · nonDerivative · entry 1

Hummer Ryan · CIK 0001700226 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,191

F1 · balance_after: Consists of restricted stock units which vest in three equal annual installments beginning on August 24, 2018.

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August 24, 2017 Filed Aug 24, 2017 23:06 UTC
Trautner KevinEVP,General Counsel & Secy
GrantCommon Stock 11,694 $0.00 $0.00
Disclosure

SEC source: 0001562762-17-000143 · certent-form4.xml · nonDerivative · entry 1

Trautner Kevin · CIK 0001701195 · EVP,General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,694

F1 · balance_after: Consists of restricted stock units which vest in three equal annual installments beginning on August 24, 2018.

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May 03, 2017 Filed May 4, 2017 20:58 UTC
RALLS W MATTDirector
PurchaseCommon Stock 30,000 $17.00 $510,000.00
Disclosure

SEC source: 0001140361-17-018471 · form4.xml · nonDerivative · entry 1

RALLS W MATT · CIK 0001180365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · shares: The shares of common stock were purchased in the Issuer's initial public offering pursuant to a directed share program.

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May 03, 2017 Filed May 4, 2017 17:01 UTC
Stromquist MartyDirector · President
Disposition to issuerExchangeable Shares · Derivative 8,333.3 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-018475 · form4.xml · derivative · entry 3

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 294,874.5

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · security: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer in connection with the Issuer's initial public offering. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · derivative.exercise_price: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer in connection with the Issuer's initial public offering. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · price: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer in connection with the Issuer's initial public offering. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · derivative.exercise_date: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer in connection with the Issuer's initial public offering. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F1 · derivative.expiration_date: Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary of the Issuer, that were exchanged for shares of common stock of the Issuer in connection with the Issuer's initial public offering. Each exchangeable share is convertible into three shares of common stock of the Issuer, subject to adjustment. The exchangeable shares are currently exercisable and have no expiration date.

F2 · ownership.nature: The shares are held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by Mr. Stromquist.

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May 03, 2017 Filed May 4, 2017 17:01 UTC
Stromquist MartyDirector · President
SaleCommon Stock 25,000 $15.94 $398,500.00
Disclosure

SEC source: 0001140361-17-018475 · form4.xml · nonDerivative · entry 2

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F2 · ownership.nature: The shares are held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by Mr. Stromquist.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.