SEC Form 4 · accession 0001209191-19-003405
Spok Holdings, Inc · SPOK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Wallace
Officer — Chief Financial Officer & CAO
Period of report
Jan 11, 2019
Accepted (ET)
Jan 11, 2019 · 4:03 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 | Jan 11, 2019 | M | 14,057 | $13.59 | A | 21,739 | D | |
| Common StockF3 | Jan 11, 2019 | F | 6,425 | $13.59 | D | 15,314 | 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 | — | Jan 11, 2019 | M | 14,057 | D | — | — | Common Stock | 14,057 | 54,795 | D |
Explanation of responses
- F1On January 11, 2019, shares were issued upon vesting of Restricted Stock Units ("RSUs") granted to Mr. Wallace.
- F2Each RSU represents a contingent right to receive one share of the issuer's Common Stock.
- F3On January 11, 2019, Mr. Wallace surrendered 6,425 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 January 4, 2019 as reported on NASDAQ.
- F4On January 11, 2019, 14,057 shares vested.