SEC Form 4 · accession 0001209191-18-001055
Spok Holdings, Inc · SPOK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent D Kelly
Officer — President & CEO · Director
Period of report
Dec 31, 2017
Accepted (ET)
Jan 3, 2018 · 5:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001289945
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 31, 2017 | M | 12,851 | — | A | 99,065 | I | Vincent DePaul Kelly, Trustee of the Vincent DePaul Kelly Third Amended and Restated Revocable Trust |
| Common StockF3 | Dec 31, 2017 | F | 6,524 | $15.65 | D | 92,541 | I | Vincent DePaul Kelly, Trustee of the Vincent DePaul Kelly Third Amended and Restated Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F4 | — | Dec 31, 2017 | M | 12,851 | D | — | — | Common Stock | 12,851 | 232,539 | I |
Explanation of responses
- F1On December 31, 2017, shares were issued upon vesting of Restricted Stock Units ("RSUs") granted to Mr. Kelly.
- F2Each RSU represents a contingent right to receive one share of the issuer's Common Stock.
- F3On December 31, 2017, Mr. Kelly surrendered 6524 shares of Spok Holdings, Inc. ("the Company") common stock to the Company in payment of required tax withholdings due upon vesting of the time based awards. The price was based on the closing price per share of December 29, 2017 as reported on NASDAQ.
- F4On December 31, 2017, 12,851 shares vested.