SEC Form 4 · accession 0001606268-17-000062

Spark Energy, Inc. · SPKE

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

Reporting owner

Officer — Executive VP, Retail

Period of report

May 18, 2017

Accepted (ET)

May 22, 2017 · 5:24 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^F1	May 18, 2017	M	6,814	$0.00	A	17,765	D
Class A Common Stock^F2,F3	May 18, 2017	F	1,869	$38.05	D	15,896	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, 2017	M	6,814	D	—	—	Class A Common Stock	6,814	16,261	D
Restricted Stock Unit^F4,F5	—	May 18, 2017	A	17,500	A	—	—	Class A Common Stock	17,500	33,761	D

F1The shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") reported represent shares issued as a result of vesting of 6,814 Restricted Stock Units ("RSU") on May 18, 2017.
F2Payment for tax liability through the withholding of shares of Spark Energy, Inc. Class A Common Stock vesting on May 18, 2017 in an amount equal to the requisite withholding obligation.
F3Vesting price is based on the closing price of Class A Common Stock on May 18, 2017, pursuant to the Spark Energy, Inc. Amended and Restated 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, 2018.