SEC Form 4 · accession 0001606268-17-000087
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owners
W Keith Maxwell III
Director · 10% Owner
Retailco, LLC
10% Owner
TxEx Energy Investments, LLC
10% Owner
Period of report
Jul 18, 2017
Accepted (ET)
Jul 21, 2017 · 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2 | Jul 18, 2017 | S | 6,800 | $21.014 | D | 689,380 | D | |
| Class A Common StockF3 | Jul 19, 2017 | S | 47,300 | $21.2529 | D | 642,080 | D | |
| Class A Common StockF4 | Jul 20, 2017 | S | 2,300 | $21.3935 | D | 639,780 | D | |
| Class A Common StockF5 | holding | — | — | — | 794,000 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported in this Form 4 was affected pursuant to a Rule 10b5-1 Sales Plan adopted by the reporting person on June 5, 2017.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.10, inclusive. The reporting person undertakes to provide to Spark Energy, Inc., any security holder of Spark Energy, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.20 to $21.35, inclusive. The reporting person undertakes to provide to Spark Energy, Inc., any security holder of Spark Energy, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F4The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.35 to $21.40, inclusive. The reporting person undertakes to provide to Spark Energy, Inc., any security holder of Spark Energy, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F5Held directly by Retailco, LLC ("Retailco)". Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.