0001606268-19-000028.txt : 20190404 0001606268-19-000028.hdr.sgml : 20190404 20190404151716 ACCESSION NUMBER: 0001606268-19-000028 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161114 FILED AS OF DATE: 20190404 DATE AS OF CHANGE: 20190404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maxwell W Keith III CENTRAL INDEX KEY: 0001582187 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 19732010 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TxEx Energy Investments, LLC CENTRAL INDEX KEY: 0001664236 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 19732011 BUSINESS ADDRESS: STREET 1: 12140 WICKCHESTER LANE, SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 832-200-3792 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE, SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Retailco, LLC CENTRAL INDEX KEY: 0001664233 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 19732012 BUSINESS ADDRESS: STREET 1: 12140 WICKCHESTER LANE, SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 832-200-3792 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE, SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Spark Energy, Inc. CENTRAL INDEX KEY: 0001606268 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 465453215 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12140 WICKCHESTER LANE STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: (713) 600-2600 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 4/A 1 wf-form4a_155440542094961.xml FORM 4/A X0306 4/A 2016-11-14 2016-11-14 0 0001606268 Spark Energy, Inc. SPKE 0001582187 Maxwell W Keith III 12140 WICKCHESTER LANE, SUITE 100 HOUSTON TX 77079 1 0 1 0 0001664236 TxEx Energy Investments, LLC 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 0 0 1 0 0001664233 Retailco, LLC 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 0 0 1 0 Class A Common Stock 2016-11-14 4 P 0 25877 24.89 A 118527 D Class A Common Stock 2016-11-14 4 P 0 18165 26.12 A 136692 D This Amendment is being filed to correctly reflect an aggregate purchase of 44,042 shares of Spark Energy, Inc.'s Class A common stock on November 14, 2016 instead of 42,185 shares of Class A common stock, as reported on the original Form 4. The number of shares of Class A common stock reported as holdings has been updated from 135,035 shares of Class A common stock to 136,692 shares of Class A common stock to reflect the correct transaction amount. The purchase of Class A common stock reported herein by the reporting person may be matchable under Section 16(b) of the Securities and Exchange Act of 1934, as amended. The reporting person has agreed to disgorge any short swing profits associated with such matching transactions. The price reported in Column 4, is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.89 to $25.85, 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. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.9 to $26.495, 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. /s/ W. Keith Maxwell III 2019-04-02 /s/ W. Keith Maxwell III, Chief Executive Officer of TxEx Energy Investments, LLC 2019-04-02 /s/ W. Keith Maxwell III, Chief Executive Officer of Retailco, LLC 2019-04-02