0001606268-21-000058.txt : 20210702 0001606268-21-000058.hdr.sgml : 20210702 20210702125110 ACCESSION NUMBER: 0001606268-21-000058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210629 FILED AS OF DATE: 20210702 DATE AS OF CHANGE: 20210702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maxwell W Keith III CENTRAL INDEX KEY: 0001582187 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 211068901 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 211068900 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 211068899 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 1 wf-form4_162524465429389.xml FORM 4 X0306 4 2021-06-29 0 0001606268 Spark Energy, Inc. SPKE 0001582187 Maxwell W Keith III 12140 WICKCHESTER LANE, SUITE 100 HOUSTON TX 77079 1 1 1 0 CEO 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 2021-06-29 4 P 0 2519 11.0711 A 2671102 D Class A Common Stock 2021-06-30 4 P 0 1900 11.3578 A 2673002 D Class A Common Stock 2021-07-01 4 C 0 800000 0 A 3473002 D Class B Common Stock/Spark HoldCo Units 2021-07-01 4 C 0 800000 0 D Class A Common Stock 800000.0 20000000 I held through affiliate The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.00 to $11.19, 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 $11.27 to $11.40, 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. Subject to terms of the Third Amended and Restated Limited Liability Company Agreement of Spark HoldCo, LLC, the units of Spark HoldCo, LLC (the "Spark HoldCo Units"), together with a corresponding number of shares of Class B Common Stock of Spark Energy, Inc (the "Issuer") may be exchanged, at any time and from time to time, for Class A Common Stock of the Issuer (or cash at the Issuer or Spark HoldCo's election) at an exchange ratio of one share of Class A Common Stock for each Spark HoldCo Unit (and corresponding share of Class B Common Stock). Immediately following the exchange described in footnote 5 below, Retailco, LLC ("Retailco") distributed the Class A Common Stock to W. Keith Maxwell III. Accordingly, these shares are reflected as directly owned. On July 1, 2021, Retailco elected to exchange 800,000 Spark HoldCo Units, together with a corresponding number of shares of Class B Common Stock, into 800,000 shares of Class A Common Stock. 19,725,000 shares are held directly by Retailco (see footnote 4 above) and 275,000 shares are held directly by NuDevco Retail, LLC. Retailco is a wholly-owned subsidiary of TxEx Energy Investments, LLC ("TxEx"). which is wholly-owned by W. Keith Maxwell III. NuDevco Retail, LLC is a wholly-owned subsidiary of NuDevco Retail Holdings, which is a wholly-owned subsidiary of Electric Holdco, LLC, which is a wholly-owned subsidiary of TxEx, which is wholly-owned by W. Keith Maxwell III. /s/ W. Keith Maxwell III, by Dominique R. Colvard, Attorney-in-Fact 2021-07-02 /s/ W. Keith Maxwell III, Chief Executive Officer of TxEx Energy Investments, LLC 2021-07-02 /s/ W. Keith Maxwell III, Chief Executive Officer of Retailco, LLC 2021-07-02