SEC Form 4 · accession 0001606268-15-000047
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Kenneth Michael Hartwick
Director
Period of report
Apr 6, 2015
Accepted (ET)
Apr 7, 2015 · 10:39 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001606268
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Apr 6, 2015 | A | 5,400 | A | — | — | Class A Common Stock | 5,400 | 9,214 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a right to receive, upon vesting, one share of Class A Common Stock, par value $0.01 per share, of Spark Energy, Inc., cash, or a combination of both. Each RSU includes tandem dividend equivalents which will vest upon the same schedule referenced in Footnote 2.
- F2The RSUs will vest in full on May 18, 2016.