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Spok Holdings (SPOK) CFO gains shares from RSUs and tax withholding

Filing Impact
(High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Spok Holdings Chief Financial Officer Calvin Rice reported equity transactions tied to a prior performance-based award and a new grant. He exercised 13,736 Restricted Stock Units, converting them into 13,736 shares of common stock at a stated value of $12.14 per share. The Compensation Committee determined that performance targets under a 2023 long-term incentive plan had been exceeded, leading to an additional grant of 4,120 common shares at $12.14 per share. To cover tax obligations associated with these vestings, 8,759 common shares were disposed of through a tax-withholding transaction, leaving Rice with 21,359 directly held common shares after these movements.

Positive

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Negative

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Insider Rice Calvin
Role Chief Financial Officer & CAO
Type Security Shares Price Value
Exercise Restricted Stock Unit 13,736 $0.00 --
Exercise Common Stock 13,736 $12.14 $167K
Grant/Award Common Stock 4,120 $12.14 $50K
Tax Withholding Common Stock 8,759 $12.14 $106K
Holdings After Transaction: Restricted Stock Unit — 67,830 shares (Direct); Common Stock — 25,998 shares (Direct)
Footnotes (1)
  1. On January 3, 2023, 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 2023 Long Term Incentive Plan ("LTIP") are achieved for the year ending December 31, 2025. On March 4, 2026, shares were issued upon vesting of the RSUs. On March 4, 2026, the Compensation Committee of the Company's Board of Directors determined that the performance objective targets under the RSU award had been exceeded, resulting in the award and vesting of additional shares of Common Stock reported herein. Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Rice Calvin
(Last) (First) (Middle)
C/O SPOK HOLDINGS, INC.
3000 TECHNOLOGY DRIVE, STE 400
(Street)
PLANO TX 75074
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Spok Holdings, Inc [ SPOK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer & CAO
3. Date of Earliest Transaction (Month/Day/Year)
03/04/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/04/2026 M 13,736(1) A $12.14 25,998 D
Common Stock 03/04/2026 A 4,120(2) A $12.14 30,118 D
Common Stock 03/04/2026 F 8,759 D $12.14 21,359 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: 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 (3) 03/04/2026 M 13,736 (1) (1) Common Stock 13,736 $0 67,830 D
Explanation of Responses:
1. On January 3, 2023, 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 2023 Long Term Incentive Plan ("LTIP") are achieved for the year ending December 31, 2025. On March 4, 2026, shares were issued upon vesting of the RSUs.
2. On March 4, 2026, the Compensation Committee of the Company's Board of Directors determined that the performance objective targets under the RSU award had been exceeded, resulting in the award and vesting of additional shares of Common Stock reported herein.
3. Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.
/Calvin Rice/ 03/04/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Spok Holdings (SPOK) CFO Calvin Rice report?

Calvin Rice reported exercising 13,736 Restricted Stock Units into common stock, receiving an additional 4,120 common shares as a performance-based award, and disposing of 8,759 shares to satisfy tax obligations related to these equity awards.

Were Spok (SPOK) CFO Calvin Rice’s Form 4 transactions open-market buys or sells?

The reported transactions were not open-market trades. They reflect an exercise of 13,736 Restricted Stock Units, a grant of 4,120 common shares, and a 8,759-share tax-withholding disposition to cover tax liabilities from these vesting events.

Why did Spok (SPOK) CFO Calvin Rice receive additional common shares on March 4, 2026?

Additional shares were issued because the Compensation Committee determined that performance objective targets under a 2023 Restricted Stock Unit award had been exceeded, triggering vesting of extra common stock beyond the original grant terms for that incentive plan.

How many Spok (SPOK) common shares did Calvin Rice hold after these Form 4 transactions?

After the exercise, grant, and tax-withholding disposition, Calvin Rice directly owned 21,359 shares of Spok common stock, as reported in the Form 4 totals following the final transaction on March 4, 2026.

What performance period was tied to Calvin Rice’s Spok (SPOK) Restricted Stock Units?

The Restricted Stock Units were granted on January 3, 2023, and were contingent on specified performance objectives for the year ending December 31, 2025 under Spok’s 2023 Long Term Incentive Plan before vesting into common shares.