SEC Form 4 · accession 0001606268-17-000101
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G Jones II
Director
Period of report
Aug 29, 2017
Accepted (ET)
Aug 29, 2017 · 5:06 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 | Aug 29, 2017 | P | 500 | $16.37 | A | 40,640 | D | |
| Class A Common StockF1 | Aug 29, 2017 | P | 500 | $16.40 | A | 41,140 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2,F3 | — | holding | — | — | — | — | — | Class A Common Stock | 15,072 | 15,072 | D |
Explanation of responses
- F1This amount reflects the effect of a two-for-one stock split of the Company's Common Stock for all shares of record on June 5, 2017.
- F2Each restricted stock unit ("RSU") represents a right to receive, upon vesting, one share of Class A Common Stock, par value $0.01 per share, 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 3.
- F3Each of these RSUs vests and pays out upon vesting and payout of the underlying award of RSUs to which the dividend equivalent relates.