Sec Form 4 Filing - Stromquist Marty @ NCS Multistage Holdings, Inc. - 2019-02-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Stromquist Marty
2. Issuer Name and Ticker or Trading Symbol
NCS Multistage Holdings, Inc. [ NCSM]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President
(Last) (First) (Middle)
C/O NCS MULTISTAGE HOLDINGS, INC., 19450 STATE HIGHWAY 249, SUITE 200
3. Date of Earliest Transaction (MM/DD/YY)
02/15/2019
(Street)
HOUSTON, TX77070
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/15/2019 A 663,468 A 663,468 I By Corporation ( 2 )
Common Stock 113,443 ( 3 ) I See Footnote ( 3 )
Common Stock 24,419 ( 4 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Exchangeable Shares ( 5 ) ( 5 ) 02/15/2019 D 221,155.8 ( 5 ) ( 5 ) Common Stock 663,468 ( 6 ) 0 I See Footnote ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Stromquist Marty
C/O NCS MULTISTAGE HOLDINGS, INC.
19450 STATE HIGHWAY 249, SUITE 200
HOUSTON, TX77070
X President
Signatures
/s/ Kevin Trautner, attorney-in-fact 02/19/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Cemblend Systems Inc. ("Cemblend") converted exchangeable shares into shares of common stock of the Issuer and distributed such shares to Stromquist Technologies Inc. ("STI").
( 2 )Held by STI, a corporation of which the Reporting Person is a controlling shareholder. The Reporting Person disclaims beneficial ownership of the Issuer's securities held by STI except to the extent of his pecuniary interest therein.
( 3 )Held by Cemblend. Cemblend is indirectly 50% owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the Issuer's securities held by Cemblend except to the extent of his pecuniary interest therein.
( 4 )Includes 24,419 restricted stock units which vest in three equal annual installments beginning on March 1, 2019.
( 5 )Represents exchangeable shares in NCS Multistage Inc., a wholly owned indirect subsidiary 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.
( 6 )Not applicable.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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