SEC Form 4 · accession 0001209191-18-018492
Spok Holdings, Inc · SPOK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sharon Woods-Keisling
Officer — Corporate Secretary, Treasurer
Period of report
Mar 9, 2018
Accepted (ET)
Mar 9, 2018 · 4:19 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 | Mar 9, 2018 | M | 3,564 | — | A | 11,175 | D | |
| Common StockF3 | Mar 9, 2018 | F | 1,055 | $15.90 | D | 10,120 | D |
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 | — | Mar 9, 2018 | M | 3,564 | D | — | — | Common Stock | 3,564 | 23,674 | D |
| Restricted Stock UnitsF5 | — | Mar 9, 2018 | D | 3,564 | D | — | — | Common Stock | 3,564 | 20,110 | D |
Explanation of responses
- F1On March 9, 2018, shares were issued upon vesting of Restricted Stock Units ("RSUs") granted to Ms. Woods under the Spok Holdings, Inc. 2015 Long Term Incentive Plan (the "2015 LTIP").
- F2RSUs were granted to Ms. Woods under the 2015 LTIP. Each RSU represents a contingent right to receive one share of the issuer's Common Stock.
- F3On March 9, 2018 Ms. Woods surrendered 1,055 shares of Spok Holdings, Inc. ("the Company") common stock to the Company in payment of required tax withholdings due upon vesting of the Company's 2015 Long Term Incentive Plan. The price was based on the closing price per share of March 2, 2018 as reported on NASDAQ.
- F4On March 9, 2018 3,564 shares vested under the 2015 LTIP.
- F5On March 9, 2018, 3,564 shares were forfeited due to performance criteria of the 2015 LTIP not met.