SEC Form 4/A · accession 0001606268-16-000252
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Nathan Kroeker
Officer — President & CEO · Director
Period of report
May 4, 2016
Accepted (ET)
May 16, 2016 · 4:52 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 Stock | May 4, 2016 | M | 14,162 | $0.00 | A | 35,198 | D | |
| Class A Common StockF1,F2,F3 | May 4, 2016 | F | 3,876 | $25.87 | D | 31,322 | D | |
| Class A Common Stock | holding | — | — | — | 21,036 | 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 UnitF4 | — | May 4, 2016 | M | 14,162 | D | — | — | Class A Common Stock | 14,162 | 44,628 | D |
Explanation of responses
- F1Payment for tax liability through the withholding of shares of Class A Common Stock vesting on May 4, 2016 in an amount equal to the requisite withholding obligation.
- F2Vesting price is based on the closing price of common stock on May 4, 2016, pursuant to the Spark Energy, Inc. Long Term Incentive Plan.
- F3The total number of shares beneficially owned was unintentionally misstated due to a clerical error.
- F4The shares of Class A Common Stock reported represent shares issued as a result of vesting of 14,162 Restricted Stock Units on May 4, 2016.