0001606268-16-000377.txt : 20161121
0001606268-16-000377.hdr.sgml : 20161121
20161121164151
ACCESSION NUMBER: 0001606268-16-000377
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161117
FILED AS OF DATE: 20161121
DATE AS OF CHANGE: 20161121
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
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: 162010718
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36559
FILM NUMBER: 162010719
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: Maxwell W Keith III
CENTRAL INDEX KEY: 0001582187
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36559
FILM NUMBER: 162010720
MAIL ADDRESS:
STREET 1: 12140 WICKCHESTER LANE
STREET 2: SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
4
1
wf-form4_147976449874221.xml
FORM 4
X0306
4
2016-11-17
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
2016-11-17
4
P
0
14661
26.69
A
152596
D
Class A Common Stock
2016-11-18
4
P
0
650
26.698
A
153246
D
Class A Common Stock
397000
I
See footnotes
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, with the sale of shares of Class A Common Stock which occurred in the past six months. Prior to this purchase, W. Keith Maxwell has agreed to pay Spark Energy, Inc. the full amount of the profit realized in connection with the short-swing transaction as soon as practicable after information is available for the highest sales price and lowest purchase price during the six month period in which this transaction occurs.
The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $26.50 to $26.79, 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 $26.69 to $26.70, 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.
Held directly by Retailco, LLC ("Retailco"). Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.
/s/ W. Keith Maxwell III,
by Gil Melman, Attorney-in-fact
2016-11-21
/s/ TxEx Energy Investments, LLC, by Gil Melman, Attorney-in-fact
2016-11-21
/s/ Retailco, LLC, by Gil Melman, Attorney-in-fact
2016-11-21