SEC Form 4 · accession 0001606268-15-000186
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allison Wall
Other
Period of report
Dec 31, 2015
Accepted (ET)
Dec 31, 2015 · 1:38 pm EST
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,F2 | Dec 31, 2015 | M | 29,500 | — | A | 36,018 | 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 UnitF2,F3,F1 | — | Dec 31, 2015 | M | 29,500 | D | — | — | Class A Common Stock | 29,500 | 0 | D |
Explanation of responses
- F1These shares of Common Stock were acquired by the reporting person as a result of accelerated vesting on December 31, 2015 of 29,500 Restricted Stock Units pursuant to a separation and release agreement between reporting person and the Company.
- F2Restricted Stock Units convert into Class A Common Stock on a one-to-one basis.
- F3Represents 29,500 Restricted Stock Units which vested on accelerated basis and 1,515 Restricted Stock Units which were forfeited in each case pursuant to a separation and release agreement between reporting person and the Company.