SEC Form 4 · accession 0001606268-15-000072
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Michael Hartwick
Director
Period of report
May 4, 2015
Accepted (ET)
May 5, 2015 · 6:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001606268
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | May 4, 2015 | M | 3,910 | — | A | 3,910 | 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 UnitF1,F2 | — | May 4, 2015 | M | 3,910 | D | — | — | Class A Common Stock | 3,910 | 5,400 | D |
Explanation of responses
- F1Restricted Stock Units convert into Class A Common Stock on a one-for-one basis.
- F2The shares of Class A Common Stock reported represent shares issued as a result of vesting of 3,910 Restricted Stock Units ("RSUs") on May 4, 2015.