SEC Form 4 · accession 0001606268-16-000267
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Eads
Director
Period of report
May 18, 2016
Accepted (ET)
May 26, 2016 · 5:21 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 | holding | — | — | — | 9,777 | 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 | — | May 18, 2016 | A | 8,620 | A | — | — | Class A Common Stock | 8,620 | 8,620 | D |
Explanation of responses
- F1Reflects amount of Class A Common Stock previously reported in prior filings revised to correct an error in which vesting of the 2014 restricted stock unit grant ("RSU") was overstated by 3,750 shares.
- F2Each RSU represents a right to receive, upon vesting, one share of Class A Common Stock, par value $0.01 per share (the "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 2.
- F3The RSUs will vest in full on May 18, 2017.