SEC Form 4/A · accession 0001628280-15-002271
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 owner
Nathan Kroeker
Officer — President & CEO · Director
Period of report
Apr 6, 2015
Accepted (ET)
Apr 14, 2015 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001606268
Table I — non-derivative securities
No Table I lines on this filing.
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 | — | Apr 6, 2015 | A | 15,000 | A | — | — | Class A Common Stock | 15,000 | 67,146 | D |
Explanation of responses
- F1Each 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 2.
- F2The RSUs will vest ratably over four years commencing May 18, 2016.
Remarks
Mr. Kroeker is President and Chief Executive Officer of Spark Energy, Inc. Mr. Kroeker also serves on the board of directors of Spark Energy, Inc.