0001606268-19-000037.txt : 20190404
0001606268-19-000037.hdr.sgml : 20190404
20190404154727
ACCESSION NUMBER: 0001606268-19-000037
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181120
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: 19732151
MAIL ADDRESS:
STREET 1: 12140 WICKCHESTER LANE
STREET 2: 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: 19732152
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: 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: 19732153
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_155440723013668.xml
FORM 4/A
X0306
4/A
2018-11-20
2018-11-21
0
0001606268
Spark Energy, Inc.
SPKE
0001582187
Maxwell W Keith III
12140 WICKCHESTER LANE, SUITE 100
HOUSTON
TX
77079
1
0
1
0
0001664233
Retailco, LLC
12140 WICKCHESTER LANE
SUITE 100
HOUSTON
TX
77079
0
0
1
0
0001664236
TxEx Energy Investments, LLC
12140 WICKCHESTER LANE
SUITE 100
HOUSTON
TX
77079
0
0
1
0
Class A Common Stock
2018-11-20
4
P
0
1500
8.161
A
2271188
D
This Amendment is being filed to correctly reflect a purchase of 1,500 shares of Spark Energy, Inc.'s Class A common stock instead of 1,600 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 1,341,007 shares of Class A common stock to 2,271,188 shares of Class A common stock to reflect the correct transaction amount, as well as other unreported transactions and amendments that are being reported on or about the date hereof. Additionally, such holdings includes 904,008 shares of Class A common stock that were previously held by the reporting person indirectly through Retailco, LLC that were distributed to the individual reporting person on November 13, 2018.
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 $8.10 to $8.25, 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
2019-04-04
/s/ W. Keith Maxwell III, Chief Executive Officer of Retailco, LLC
2019-04-04
/s/ W. Keith Maxwell III, Chief Executive Officer of TxEx Energy Investments, LLC
2019-04-04