SEC Form 4 · accession 0001209191-19-018076
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 8, 2019
Accepted (ET)
Mar 8, 2019 · 4:07 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 | Mar 8, 2019 | M | 3,377 | $0.00 | A | 11,921 | D | |
| Common StockF2 | Mar 8, 2019 | F | 1,017 | $14.21 | D | 10,904 | 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 UnitsF3,F4 | — | Mar 8, 2019 | M | 3,377 | D | — | — | Common Stock | 3,377 | 24,240 | D |
| Restricted Stock UnitF5 | — | Mar 8, 2019 | D | 3,377 | D | — | — | Common Stock | 3,377 | 20,863 | D |
Explanation of responses
- F1On March 8, 2019, shares were issued upon vesting of Restricted Stock Units ("RSUs") granted to Ms. Woods under the Spok Holdings, Inc. 2016 Long Term Incentive Plan (the "2016 LTIP").
- F2On March 8, 2019, Ms. Woods surrendered 1,017 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 March 1, 2019 as reported on NASDAQ.
- F3Each RSU represents a contingent right to receive one share of the issuer's Common Stock.
- F4On March 8, 2019, 3,377 shares vested.
- F5On March 8, 2019, 3,377 shares were forfeited due to performance criteria of the 2016 LTIP not being met.