SEC Form 4 · accession 0001628280-16-010818

Spark Energy, Inc. · SPKE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

Explanation of responses

• F1The sale of Class A Common Stock reported herein by Retailco, LLC ("Retailco") was matchable under Section 16(b) of the Securities and Exchange Act of 1934, as amended, with the purchase by W. Keith Maxwell III, the indirect owner of Retailco, of 14,300 shares of Class A Common Stock of which 2,500 shares were purchased September 4, 2015; 2,500 shares were purchased on September 8, 2015; and 9,300 shares were purchased on December 1, 2015. W. Keith Maxwell III has agreed to pay Spark Energy, Inc., upon settlement of the sale $118,475.69, representing the full amount of the profit realized in connection with the short-swing transaction.
• F2The price reported in column 4, is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.00 to $25.635, 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.
• F3Held directly by Retailco. Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.