SEC Form 4 · accession 0001209191-19-002157
Spok Holdings, Inc · SPOK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hemant Goel
Officer — President of Spok, Inc.
Period of report
Dec 31, 2018
Accepted (ET)
Jan 4, 2019 · 5:38 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, 2018 | M | 11,470 | $13.26 | A | 19,994 | D | |
| Common StockF3 | Dec 31, 2018 | F | 3,958 | $13.26 | D | 16,036 | 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 | — | Dec 31, 2018 | M | 11,470 | D | — | — | Common Stock | 11,470 | 69,713 | D |
Explanation of responses
- F1On December 31, 2018, shares were issued upon vesting of Restricted Stock Units ("RSUs") granted to Mr. Goel.
- F2Each RSU represents a contingent right to receive one share of the issuer's Common Stock.
- F3On December 31, 2018, Mr. Goel surrendered 3,958 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 31, 2018 as reported on NASDAQ.
- F4On December 31, 2018, 11,470 shares vested.