SEC Form 4 · accession 0001606268-18-000134
Spark Energy, Inc. · SPKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathan Kroeker
Officer — President & CEO · Director
Period of report
Dec 20, 2018
Accepted (ET)
Dec 20, 2018 · 6:32 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1,F2 | Dec 20, 2018 | P | 1,000 | $17.982 | A | 5,775 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The full name of the Series A Preferred Stock is "8.75% Series A Fixed-to-Floating Rate Cumulative Redeemable Perpetual Preferred Stock."
- F2The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.71 to $18.00, 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.