SEC Form 4 · accession 0001606268-16-000257

Spark Energy, Inc. · SPKE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice President & CFO

Period of report

May 18, 2016

Accepted (ET)

May 20, 2016 · 4:32 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
Class A Common Stock^F1	May 18, 2016	M	2,715	$0.00	A	7,854	D
Class A Common Stock^F2,F3	May 18, 2016	F	745	$29.915	D	7,109	D
Class A Common Stock	holding	—	—		—	5,139	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F1	—	May 18, 2016	M	2,715	D	—	—	Class A Common Stock	2,715	22,316	D
Restricted Stock Unit^F4,F5	—	May 18, 2016	A	10,000	A	—	—	Class A Common Stock	10,000	32,316	D

F1The shares of Class A Common Stock reported represent shares issued as a result of vesting of 2,715 Restricted Stock Units ("RSU") on May 18, 2016.
F2Payment for tax liability through the withholding of shares of Spark Energy, Inc. Class A Common Stock, par value $0.01 per share, vesting on May 18, 2016 in an amount equal to the requisite withholding obligation.
F3Vesting price is based on the closing price of common stock on May 18, 2016, pursuant to the Spark Energy, Inc. Long Term Incentive Plan.
F4Each RSU represents a right to receive, upon vesting, one share of Class A Common Stock 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 5.
F5The RSUs will vest ratably over four years commencing May 18, 2017.