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Nasdaq · USD

NCSM

NCS Multistage Holdings, Inc.

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6562
SEC CIK
0001692427
Parsed reports
241

Last 12 months

Inside the activity.

0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202502
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
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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
February 28, 2021 Filed Mar 2, 2021 21:04 UTC
Cole Lori AVice President, Finance
Disposition to issuerCommon Stock 30 $38.50 $1,155.00
Disclosure

SEC source: 0001562762-21-000085 · certent-form4.xml · nonDerivative · entry 4

Cole Lori A · CIK 0001802517 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,499

F2 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:04 UTC
Cole Lori AVice President, Finance
GrantCommon Stock 1,716 $0.00 $0.00
Disclosure

SEC source: 0001562762-21-000085 · certent-form4.xml · nonDerivative · entry 3

Cole Lori A · CIK 0001802517 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,529

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:04 UTC
Cole Lori AVice President, Finance
Tax withholdingCommon Stock 1,432 $38.50 $55,132.00
Disclosure

SEC source: 0001562762-21-000085 · certent-form4.xml · nonDerivative · entry 2

Cole Lori A · CIK 0001802517 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 813

F1 · kind: Equivalent stock units vested on February 28, 2021 and settled for cash.

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:04 UTC
Cole Lori AVice President, Finance
Exercise / conversionCommon Stock 1,432 $0.00 $0.00
Disclosure

SEC source: 0001562762-21-000085 · certent-form4.xml · nonDerivative · entry 1

Cole Lori A · CIK 0001802517 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,245

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Equivalent stock units vested on February 28, 2021 and settled for cash.

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:02 UTC
King James GambrellChief Strategy Officer
Exercise / conversionEquivalent Stock Units · Derivative 2,056 $0.00 $0.00
Disclosure

SEC source: 0001562762-21-000083 · certent-form4.xml · derivative · entry 7

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,495

Underlying: Common Stock · 2,056 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: 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.

F1 · kind: Equivalent stock units vested on February 28, 2021 and settled for cash.

F5 · derivative.exercise_date: Includes 411 equivalent stock units which vest on February 28, 2022, 3,289 equivalent stock units which vest in two equal annual installments beginning on February 28, 2022 and 1,795 equivalent stock units which vest in three equal annual installments beginning on February 28, 2022.

F5 · derivative.expiration_date: Includes 411 equivalent stock units which vest on February 28, 2022, 3,289 equivalent stock units which vest in two equal annual installments beginning on February 28, 2022 and 1,795 equivalent stock units which vest in three equal annual installments beginning on February 28, 2022.

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:02 UTC
King James GambrellChief Strategy Officer
GrantEquivalent Stock Units · Derivative 1,795 $0.00 $0.00
Disclosure

SEC source: 0001562762-21-000083 · certent-form4.xml · derivative · entry 6

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,551

Underlying: Common Stock · 1,795 shares

Expires not disclosed

F4 · derivative.exercise_price: 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.

F5 · derivative.exercise_date: Includes 411 equivalent stock units which vest on February 28, 2022, 3,289 equivalent stock units which vest in two equal annual installments beginning on February 28, 2022 and 1,795 equivalent stock units which vest in three equal annual installments beginning on February 28, 2022.

F5 · derivative.expiration_date: Includes 411 equivalent stock units which vest on February 28, 2022, 3,289 equivalent stock units which vest in two equal annual installments beginning on February 28, 2022 and 1,795 equivalent stock units which vest in three equal annual installments beginning on February 28, 2022.

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:02 UTC
King James GambrellChief Strategy Officer
Disposition to issuerCommon Stock 122 $38.50 $4,697.00
Disclosure

SEC source: 0001562762-21-000083 · certent-form4.xml · nonDerivative · entry 4

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,695

F2 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:02 UTC
King James GambrellChief Strategy Officer
GrantCommon Stock 1,795 $0.00 $0.00
Disclosure

SEC source: 0001562762-21-000083 · certent-form4.xml · nonDerivative · entry 3

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,817

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:02 UTC
King James GambrellChief Strategy Officer
Tax withholdingCommon Stock 2,056 $38.50 $79,156.00
Disclosure

SEC source: 0001562762-21-000083 · certent-form4.xml · nonDerivative · entry 2

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,022

F1 · kind: Equivalent stock units vested on February 28, 2021 and settled for cash.

Read SEC document
February 28, 2021 Filed Mar 2, 2021 21:02 UTC
King James GambrellChief Strategy Officer
Exercise / conversionCommon Stock 2,056 $0.00 $0.00
Disclosure

SEC source: 0001562762-21-000083 · certent-form4.xml · nonDerivative · entry 1

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,078

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Equivalent stock units vested on February 28, 2021 and settled for cash.

Read SEC document
December 14, 2020 Filed Dec 15, 2020 21:30 UTC
Hummer RyanChief Financial Officer
PurchaseCommon Stock 2,331 $19.59 $45,664.29
Disclosure

SEC source: 0001562762-20-000425 · certent-form4.xml · nonDerivative · entry 1

Hummer Ryan · CIK 0001700226 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,362

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.56 to $19.60. 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 purchased at each separate price within the ranges set forth in this footnote.

F2 · balance_after: Includes 376 restricted stock units which vest on March 1, 2021 and 1,452 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
August 24, 2020 Filed Aug 25, 2020 20:19 UTC
Hummer RyanChief Financial Officer
Disposition to issuerCommon Stock 1,477 $0.59 $871.43
Disclosure

SEC source: 0001562762-20-000349 · certent-form4.xml · nonDerivative · entry 1

Hummer Ryan · CIK 0001700226 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,671

F1 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F2 · balance_after: The total has been corrected from the previous Form 4 to exclude 398 shares which were inadvertently included due to an administrative error.

F3 · balance_after: Includes 7,524 restricted stock units which vest on March 1, 2021 and 29,049 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
August 24, 2020 Filed Aug 25, 2020 20:16 UTC
King James GambrellChief Strategy Officer
Disposition to issuerCommon Stock 1,219 $0.59 $719.21
Disclosure

SEC source: 0001562762-20-000347 · certent-form4.xml · nonDerivative · entry 1

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,461

F1 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F2 · balance_after: The total has been corrected from the previous Form 4 to exclude 333 shares which were inadvertently included due to an administrative error.

F3 · balance_after: Includes 6,270 restricted stock units which vest on March 1, 2021 and 16,448 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
March 01, 2020 Filed Mar 3, 2020 14:30 UTC
Bitter WadeCAO & Treasurer
Disposition to issuerCommon Stock 1,048 $1.09 $1,142.32
Disclosure

SEC source: 0001562762-20-000091 · certent-form4.xml · nonDerivative · entry 4

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,249

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F4 · balance_after: Includes 3,534 restricted stock units which vest on March 1, 2021 and 13,644 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
March 01, 2020 Filed Mar 3, 2020 19:20 UTC
Willems TimChief Operations Officer
Disposition to issuerCommon Stock 2,231 $1.09 $2,431.79
Disclosure

SEC source: 0001562762-20-000085 · certent-form4.xml · nonDerivative · entry 4

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,677

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F4 · balance_after: Includes 7,524 restricted stock units which vest on March 1, 2021 and 29,049 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
March 01, 2020 Filed Mar 3, 2020 14:14 UTC
Stromquist MartyDirector · President
Disposition to issuerCommon Stock 3,908 $1.09 $4,259.72
Disclosure

SEC source: 0001562762-20-000081 · certent-form4.xml · nonDerivative · entry 4

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,406

F2 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F3 · balance_after: Includes 8,139 restricted stock units which vest on March 1, 2021 and 31,426 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
March 01, 2020 Filed Mar 3, 2020 19:27 UTC
King James GambrellChief Strategy Officer
Disposition to issuerCommon Stock 1,527 $1.09 $1,664.43
Disclosure

SEC source: 0001562762-20-000089 · certent-form4.xml · nonDerivative · entry 4

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,013

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F4 · balance_after: Includes 5,197 restricted stock units which vest on August 24, 2020, 6,270 restricted stock units which on March 1, 2021 and 16,448 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
March 01, 2020 Filed Mar 3, 2020 19:24 UTC
Trautner KevinChief Legal Officer & Secy
Disposition to issuerCommon Stock 1,333 $1.09 $1,452.97
Disclosure

SEC source: 0001562762-20-000087 · certent-form4.xml · nonDerivative · entry 4

Trautner Kevin · CIK 0001701195 · Chief Legal Officer & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,371

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F4 · balance_after: Includes 3,898 restricted stock units which vest on August 24, 2020, 5,472 restricted stock units which vest on March 1, 2021 and 21,126 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
March 01, 2020 Filed Mar 3, 2020 19:17 UTC
Hummer RyanChief Financial Officer
Disposition to issuerCommon Stock 1,833 $1.09 $1,997.97
Disclosure

SEC source: 0001562762-20-000083 · certent-form4.xml · nonDerivative · entry 4

Hummer Ryan · CIK 0001700226 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,546

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F4 · balance_after: Includes 6,063 restricted stock units which vest on August 24, 2020, 7,524 restricted stock units which vest on March 1, 2021 and 29,049 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
March 01, 2020 Filed Mar 3, 2020 19:10 UTC
Nipper RobertDirector · Chief Executive Officer
Disposition to issuerCommon Stock 3,910 $1.09 $4,261.90
Disclosure

SEC source: 0001562762-20-000079 · certent-form4.xml · nonDerivative · entry 4

Nipper Robert · CIK 0001701187 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,836

F2 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

F3 · balance_after: Includes 16,672 restricted stock units which vest on March 1, 2021 and 64,370 restricted stock units which vest in two equal annual installments beginning on February 28, 2021.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:52 UTC
RALLS W MATTDirector
GrantCommon Stock 82,237 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000101 · certent-form4.xml · nonDerivative · entry 1

RALLS W MATT · CIK 0001180365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,028

F1 · balance_after: Includes 19,824 vested restricted stock units and 1,960 restricted stock units which vest on April 27, 2020 and all of which settle 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. Also, includes 22,007 vested restricted stock units and 82,237 restricted stock units which vest on February 28, 2021 and all of which settle within thirty days following the earlier of (i) the termination of the Reporting Person's service for any reason or (ii) a change of control.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:30 UTC
Bitter WadeCAO & Treasurer
Exercise / conversionEquivalent Stock Units · Derivative 2,274 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000091 · certent-form4.xml · derivative · entry 6

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,548

Underlying: Common Stock · 2,274 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F6 · derivative.exercise_date: Includes 4,548 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021.

F6 · derivative.expiration_date: Includes 4,548 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:30 UTC
Bitter WadeCAO & Treasurer
Disposition to issuerCommon Stock 2,024 $1.09 $2,206.16
Disclosure

SEC source: 0001562762-20-000091 · certent-form4.xml · nonDerivative · entry 3

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,297

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:30 UTC
Bitter WadeCAO & Treasurer
Tax withholdingCommon Stock 2,274 $1.09 $2,478.66
Disclosure

SEC source: 0001562762-20-000091 · certent-form4.xml · nonDerivative · entry 2

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,321

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:30 UTC
Bitter WadeCAO & Treasurer
Exercise / conversionCommon Stock 2,274 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000091 · certent-form4.xml · nonDerivative · entry 1

Bitter Wade · CIK 0001699920 · CAO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,595

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F2 · balance_after: Includes 1,041 shares acquired under the Issuer's employee stock purchase plan on June 30, 2019.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:20 UTC
Willems TimChief Operations Officer
Exercise / conversionEquivalent Stock Units · Derivative 4,842 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000085 · certent-form4.xml · derivative · entry 7

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,999

Underlying: Common Stock · 4,842 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: 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.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F7 · derivative.exercise_date: Includes 9,683 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 151,316 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F7 · derivative.expiration_date: Includes 9,683 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 151,316 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:20 UTC
Willems TimChief Operations Officer
GrantEquivalent Stock Units · Derivative 151,316 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000085 · certent-form4.xml · derivative · entry 6

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,841

Underlying: Common Stock · 151,316 shares

Expires not disclosed

F6 · derivative.exercise_price: 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.

F7 · derivative.exercise_date: Includes 9,683 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 151,316 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F7 · derivative.expiration_date: Includes 9,683 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 151,316 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:20 UTC
Willems TimChief Operations Officer
Disposition to issuerCommon Stock 4,307 $1.09 $4,694.63
Disclosure

SEC source: 0001562762-20-000085 · certent-form4.xml · nonDerivative · entry 3

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,908

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:20 UTC
Willems TimChief Operations Officer
Tax withholdingCommon Stock 4,842 $1.09 $5,277.78
Disclosure

SEC source: 0001562762-20-000085 · certent-form4.xml · nonDerivative · entry 2

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,215

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:20 UTC
Willems TimChief Operations Officer
Exercise / conversionCommon Stock 4,842 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000085 · certent-form4.xml · nonDerivative · entry 1

Willems Tim · CIK 0001699916 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,057

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F2 · balance_after: Includes 1,041 shares acquired under the Issuer's employee stock purchase plan on June 30, 2019.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:14 UTC
Stromquist MartyDirector · President
Exercise / conversionEquivalent Stock Units · Derivative 5,238 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000081 · certent-form4.xml · derivative · entry 8

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,949

Underlying: Common Stock · 5,238 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: 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.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F7 · derivative.exercise_date: Includes 10,475 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 164,474 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F7 · derivative.expiration_date: Includes 10,475 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 164,474 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:14 UTC
Stromquist MartyDirector · President
GrantEquivalent Stock Units · Derivative 164,474 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000081 · certent-form4.xml · derivative · entry 7

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,187

Underlying: Common Stock · 164,474 shares

Expires not disclosed

F6 · derivative.exercise_price: 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.

F7 · derivative.exercise_date: Includes 10,475 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 164,474 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F7 · derivative.expiration_date: Includes 10,475 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 164,474 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:14 UTC
Stromquist MartyDirector · President
Disposition to issuerCommon Stock 7,543 $1.09 $8,221.87
Disclosure

SEC source: 0001562762-20-000081 · certent-form4.xml · nonDerivative · entry 3

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,314

F2 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:14 UTC
Stromquist MartyDirector · President
Tax withholdingCommon Stock 5,238 $1.09 $5,709.42
Disclosure

SEC source: 0001562762-20-000081 · certent-form4.xml · nonDerivative · entry 2

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,857

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 14:14 UTC
Stromquist MartyDirector · President
Exercise / conversionCommon Stock 5,238 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000081 · certent-form4.xml · nonDerivative · entry 1

Stromquist Marty · CIK 0001699918 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,095

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:55 UTC GrantCommon Stock 82,237 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000103 · certent-form4.xml · nonDerivative · entry 1

Mitchell Valerie A · CIK 0001608353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,379

F1 · balance_after: Includes 21,749 restricted stock units which vest on August 20, 2020, 47,393 which vest in three equal annual installments beginning on August 20, 2020 and 82,237 restricted stock units which vest on February 28, 2021 and all of which settle within thirty days following the earlier of (i) the termination of the Reporting Person's service for any reason or (ii) a change of control.

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February 28, 2020 Filed Mar 3, 2020 19:49 UTC GrantCommon Stock 82,237 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000099 · certent-form4.xml · nonDerivative · entry 1

MYERS FRANKLIN · CIK 0001207002 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,028

F1 · balance_after: Includes 19,824 vested restricted stock units and 1,960 restricted stock units which vest on April 27, 2020 and all of which settle 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. Also, includes 82,237 restricted stock units which vest on February 28, 2021 and which settle within thirty days of the vesting date.

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February 28, 2020 Filed Mar 3, 2020 19:41 UTC
DEANE JOHN DDirector
GrantCommon Stock 82,237 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000095 · certent-form4.xml · nonDerivative · entry 1

DEANE JOHN D · CIK 0001236472 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,146

F1 · balance_after: Includes 15,902 vested restricted stock units which settle 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. Also, includes 82,237 restricted stock units which vest on February 28, 2021 and which settle within thirty days of the vesting date.

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February 28, 2020 Filed Mar 3, 2020 19:45 UTC GrantCommon Stock 82,237 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000097 · certent-form4.xml · nonDerivative · entry 1

FITZGERALD MATTHEW D · CIK 0001184451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,028

F1 · balance_after: Includes 19,824 vested restricted stock units and 1,960 restricted stock units which vest on April 27, 2020 and all of which settle 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. Also, includes 22,007 vested restricted stock units and 82,237 restricted stock units which vest on February 28, 2021 and all of which settle within thirty days following the earlier of (i) the termination of the Reporting Person's service for any reason or (ii) a change of control.

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February 28, 2020 Filed Mar 3, 2020 19:36 UTC GrantCommon Stock 82,237 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000093 · certent-form4.xml · nonDerivative · entry 1

MCSHANE MICHAEL · CIK 0001236484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,310

F1 · balance_after: Includes 22,264 vested restricted stock units which settle 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. Also, includes 82,237 restricted stock units which vest on February 28, 2021 and which settle within thirty days of the vesting date.

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February 28, 2020 Filed Mar 3, 2020 19:27 UTC
King James GambrellChief Strategy Officer
Exercise / conversionEquivalent Stock Units · Derivative 8,225 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000089 · certent-form4.xml · derivative · entry 6

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,132

Underlying: Common Stock · 8,225 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F6 · derivative.exercise_date: Includes 16,448 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 98,684 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F6 · derivative.expiration_date: Includes 16,448 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 98,684 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

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February 28, 2020 Filed Mar 3, 2020 19:27 UTC
King James GambrellChief Strategy Officer
GrantEquivalent Stock Units · Derivative 98,684 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000089 · certent-form4.xml · derivative · entry 5

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,357

Underlying: Common Stock · 98,684 shares

Expires not disclosed

F5 · derivative.exercise_price: 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.

F6 · derivative.exercise_date: Includes 16,448 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 98,684 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F6 · derivative.expiration_date: Includes 16,448 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 98,684 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

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February 28, 2020 Filed Mar 3, 2020 19:27 UTC
King James GambrellChief Strategy Officer
Disposition to issuerCommon Stock 2,003 $1.09 $2,183.27
Disclosure

SEC source: 0001562762-20-000089 · certent-form4.xml · nonDerivative · entry 3

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,540

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

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February 28, 2020 Filed Mar 3, 2020 19:27 UTC
King James GambrellChief Strategy Officer
Tax withholdingCommon Stock 8,225 $1.09 $8,965.25
Disclosure

SEC source: 0001562762-20-000089 · certent-form4.xml · nonDerivative · entry 2

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,543

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

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February 28, 2020 Filed Mar 3, 2020 19:27 UTC
King James GambrellChief Strategy Officer
Exercise / conversionCommon Stock 8,225 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000089 · certent-form4.xml · nonDerivative · entry 1

King James Gambrell · CIK 0001769120 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,768

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F2 · balance_after: The total has been corrected from the previous Form 4 to exclude 5,197 shares which were inadvertently double counted.

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February 28, 2020 Filed Mar 3, 2020 19:24 UTC
Trautner KevinChief Legal Officer & Secy
Exercise / conversionEquivalent Stock Units · Derivative 3,521 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000087 · certent-form4.xml · derivative · entry 6

Trautner Kevin · CIK 0001701195 · Chief Legal Officer & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,884

Underlying: Common Stock · 3,521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F6 · derivative.exercise_date: Includes 7,042 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 111,842 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F6 · derivative.expiration_date: Includes 7,042 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 111,842 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

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February 28, 2020 Filed Mar 3, 2020 19:24 UTC
Trautner KevinChief Legal Officer & Secy
GrantEquivalent Stock Units · Derivative 111,842 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000087 · certent-form4.xml · derivative · entry 5

Trautner Kevin · CIK 0001701195 · Chief Legal Officer & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,405

Underlying: Common Stock · 111,842 shares

Expires not disclosed

F5 · derivative.exercise_price: 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.

F6 · derivative.exercise_date: Includes 7,042 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 111,842 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

F6 · derivative.expiration_date: Includes 7,042 equivalent stock units which vest in in two equal annual installments beginning on February 28, 2021 and 111,842 equivalent stock units which vest in in three equal annual installments beginning on February 28, 2021.

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February 28, 2020 Filed Mar 3, 2020 19:24 UTC
Trautner KevinChief Legal Officer & Secy
Disposition to issuerCommon Stock 2,573 $1.09 $2,804.57
Disclosure

SEC source: 0001562762-20-000087 · certent-form4.xml · nonDerivative · entry 3

Trautner Kevin · CIK 0001701195 · Chief Legal Officer & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,704

F3 · shares: These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.

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February 28, 2020 Filed Mar 3, 2020 19:24 UTC
Trautner KevinChief Legal Officer & Secy
Tax withholdingCommon Stock 3,521 $1.09 $3,837.89
Disclosure

SEC source: 0001562762-20-000087 · certent-form4.xml · nonDerivative · entry 2

Trautner Kevin · CIK 0001701195 · Chief Legal Officer & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,277

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:24 UTC
Trautner KevinChief Legal Officer & Secy
Exercise / conversionCommon Stock 3,521 $0.00 $0.00
Disclosure

SEC source: 0001562762-20-000087 · certent-form4.xml · nonDerivative · entry 1

Trautner Kevin · CIK 0001701195 · Chief Legal Officer & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,798

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Equivalent stock units vested on February 28, 2020 and settled for cash.

F2 · balance_after: The total has been corrected from the previous Form 4 to exclude 3,898 shares which were inadvertently double counted.

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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.