SEC Form 4 · accession 0001606268-16-000199
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
W Keith Maxwell III
Director · 10% Owner
Retailco, LLC
10% Owner
TxEx Energy Investments, LLC
10% Owner
Period of report
Feb 5, 2016
Accepted (ET)
Feb 8, 2016 · 6:11 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 StockF2 | Feb 5, 2016 | S | 3,534 | $25.00 | D | 982,166 | I | See footnote |
| Class A Common Stock | holding | — | — | — | 92,850 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale of Class A Common Stock reported herein by Retailco, LLC ("Retailco") was matchable under Section 16(b) of the Securities and Exchange Act of 1934, as amended, with the purchase by W. Keith Maxwell III, the indirect owner of Retailco, of 3,534 shares of Class A Common Stock which were purchased on December 1, 2015. W. Keith Maxwell III has agreed to pay Spark Energy, Inc., upon settlement of the sale $24,398.38, representing the full amount of the profit realized in connection with the short-swing transaction.
- F2Held directly by Retailco. Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.