SEC Form 4 · accession 0001606268-16-000259
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 18, 2016
Accepted (ET)
May 20, 2016 · 4:38 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 18, 2016 | M | 5,867 | $0.00 | A | 13,527 | D | |
| Class A Common Stock | holding | — | — | — | 7,660 | 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,F1 | — | May 18, 2016 | M | 5,867 | D | — | — | Class A Common Stock | 5,867 | 0 | D |
Explanation of responses
- F1The shares of Class A Common Stock reported represent shares issued as a result of vesting of 5,865 Restricted Stock Units on May 18, 2016.
- F2Restricted Stock Units convert into Class A Common Stock on a one-for-one basis.