Sec Form 4 Filing - Stromquist Marty @ NCS Multistage Holdings, Inc. - 2021-02-28

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
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O NCS MULTISTAGE HOLDINGS, INC., 19350 STATE HIGHWAY 249, SUITE 600
3. Date of Earliest Transaction (MM/DD/YY)
02/28/2021
(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 02/28/2021 M( 1 ) 3,003 A $ 0 8,922 D
Common Stock 02/28/2021 F( 1 ) 3,003 D $ 38.5 5,919 D
Common Stock 02/28/2021 A 2,591 A $ 0 8,510 D
Common Stock 02/28/2021 D 377 ( 4 ) D $ 38.5 8,133 D
Common Stock 03/01/2021 D 195 ( 4 ) D $ 36.31 7,938 ( 5 ) D
Common Stock 33,173 ( 2 ) I By Corporation ( 2 )
Common Stock 5,672 ( 3 ) I See Footnote ( 3 )
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
Equivalent Stock Units ( 6 ) 02/28/2021 M( 1 ) 3,003 ( 7 ) ( 7 ) Common Stock 3,003 $ 0 5,743 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Stromquist Marty
C/O NCS MULTISTAGE HOLDINGS, INC.
19350 STATE HIGHWAY 249, SUITE 600
HOUSTON, TX77070
X
Signatures
/s/ Ori Lev, attorney-in-fact 03/02/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Equivalent stock units vested on February 28, 2021 and settled for cash.
( 2 )Held by Stromquist Technologies Inc., a corporation of which the Reporting Person is a controlling shareholder. The Reporting Person disclaims beneficial ownership of the Issuer's securities held by Stromquist Technologies Inc. except to the extent of his pecuniary interest therein.
( 3 )Held by Cemblend Systems Inc. Cemblend Systems Inc. is indirectly 50% owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the Issuer's securities held by Cemblend Systems Inc. except to the extent of his pecuniary interest therein.
( 4 )These shares were surrendered to satisfy the tax obligations related to the vesting of restricted stock units.
( 5 )Includes 785 restricted stock units which vest and settle on February 28, 2022. Also, includes 2,591 restricted stock units which vest on February 28, 2022 and which settle within thirty days of the vesting date.
( 6 )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.
( 7 )Includes 261 equivalent stock units which vest on February 28, 2022 and 5,482 equivalent stock units which vest in two equal annual installments beginning on February 28, 2022.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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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