Filing Details

Accession Number:
0001628280-16-010818
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-02-05 18:44:26
Reporting Period:
2016-02-04
Filing Date:
2016-02-05
Accepted Time:
2016-02-05 18:44:26
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1606268 Spark Energy Inc. SPKE Electric & Other Services Combined (4931) 465453215
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1582187 Iii Keith W Maxwell 12140 Wickchester Lane, Suite 100
Houston TX 77079
Yes No Yes No
1664233 Retailco, Llc 12140 Wickchester Lane
Suite 100
Houston TX 77079
No No Yes No
1664236 Txex Energy Investments, Llc 12140 Wickchester Lane
Suite 100
Houston TX 77079
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Disposition 2016-02-04 14,300 $25.45 985,700 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 92,850 Direct
Footnotes
  1. The 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.
  2. The 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.
  3. Held directly by Retailco. Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.