SEC Form 4/A · accession 0001606268-17-000088
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
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 28, 2017 · 5:37 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 StockF3,F1,F4 | Jul 18, 2017 | S | 6,800 | $21.014 | D | 787,200 | I | See footnotes |
| Class A Common StockF5,F1,F4 | Jul 19, 2017 | S | 47,300 | $21.2529 | D | 739,900 | I | See footnotes |
| Class A Common StockF6,F1,F4 | Jul 20, 2017 | S | 2,300 | $21.3935 | D | 737,600 | I | See footnotes |
| Class A Common StockF1 | holding | — | — | — | 696,180 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 21, 2017, the reporting persons filed a Form 4 showing sales of Class A common stock held directly by W. Keith Maxwell III. This Amendment on Form 4 is being filed to correctly indicate that the sales were made by Retailco, LLC ("Retailco").
- F2The sale reported in this Form 4 was affected pursuant to a Rule 10b5-1 Sales Plan adopted by Retailco on June 5, 2017.
- F3The 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.
- F4Held directly by Retailco. Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.
- F5The 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.
- F6The 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.