SEC Form 4 · accession 0001606268-16-000314

Spark Energy, Inc. · SPKE

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

Reporting owners

Director · 10% Owner

10% Owner

10% Owner

Period of report

Aug 1, 2016

Accepted (ET)

Aug 3, 2016 · 1:53 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001606268

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock/Spark HoldCo Units^F2,F3,F1	—	Aug 1, 2016	A	699,742	A	—	—	Class A Common Stock	—	8,224,742	I

F1Subject to the terms of the Second Amended and Restated Limited Liability Company Agreement of Spark HoldCo, LLC ("Spark HoldCo"), the units of Spark HoldCo (the "Spark Holdco Units"), together with a corresponding number of shares of Class B common stock of Spark Energy, Inc. (the "Issuer"), may be exchanged at any time for Class A common stock of the Issuer at an exchange ratio of one share of Class A common stock for each Spark HoldCo Unit (and corresponding share of Class B common stock).
F2Pursuant to the Amended and Restated Subscription Agreement, dated as of July 26, 2016, by and among the Issuer, Spark HoldCo and Retailco, LLC ("Retailco"), Retailco purchased 699,742 shares of the Issuer's Class B common stock (and a corresponding number of Spark HoldCo Units) for an aggregate purchase price of $13,994,840.
F38,087,242 shares are held directly by Retailco and 137,500 shares are held directly by NuDevco Retail, LLC. NuDevco Retail, LLC is a wholly owned subsidiary of NuDevco Retail Holdings, LLC, which is a wholly owned subsidiary of Electric Holdco, LLC, which is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell III.