SEC Form 4/A · accession 0001606268-17-000100
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 5, 2017
Accepted (ET)
Aug 11, 2017 · 4:57 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 | — | — | — | 696,180 | D | ||
| Class A Common StockF1,F2 | holding | — | — | — | 794,000 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 5, 2017, the reporting persons mistakenly filed two Form 4s reporting the same transaction. This report corrects the effect of this error. Following the transaction on July 5, 2017, the reporting persons held 696,180 shares of Class A common stock directly and 794,000 shares of Class A common stock indirectly.
- F2Held directly by Retailco, LLC ("Retailco)". Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.