|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
|
||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
|
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Unit | (2) | 02/29/2024 | M | 4,384 | (1) | (1) | Common Stock | 4,384 | $ 0 | 61,337 | D | ||||
| Restricted Stock Unit | (3) | 02/29/2024 | F | 108 | (3) | (3) | Common Stock | 108 | $ 0 | 61,229 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Rice Calvin C/O SPOK HOLDINGS, INC. 5911 KINGSTOWNE VILLAGE PARKWAY, 6TH FLR ALEXANDRIA, VA 22315 |
Chief Financial Officer & CAO | |||
| /Calvin Rice/ | 03/01/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | On January 4, 2021, Mr. Rice was granted an award of Restricted Stock Units ("RSUs"), which vest in the form of Common Stock if specified performance objectives of the Company set forth in the 2021 Long Term Incentive Plan ("LTIP") are achieved for the year ending December 31, 2023. On February 29, 2024, shares were issued upon vesting of the RSUs. |
| (2) | Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock. |
| (3) | On February 29, 2024, 108 shares were forfeited due to performance criteria of the 2021 LTIP not being met. |