0001606268-17-000089.txt : 20170728
0001606268-17-000089.hdr.sgml : 20170728
20170728173935
ACCESSION NUMBER: 0001606268-17-000089
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170726
FILED AS OF DATE: 20170728
DATE AS OF CHANGE: 20170728
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: 17991049
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: 17991048
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: 17991047
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_150127796166424.xml
FORM 4
X0306
4
2017-07-26
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
696180
D
Class A Common Stock
2017-07-26
4
S
0
10524
21.1066
D
727076
I
See footnotes
Class A Common Stock
2017-07-27
4
S
0
8100
21.1133
D
718976
I
See footnotes
Class A Common Stock
2017-07-28
4
S
0
3594
21.1696
D
715382
I
See footnotes
The sale reported in this Form 4 was affected pursuant to a Rule 10b5-1 Sales Plan adopted by Retailco, LLC ("Retailco") on June 5, 2017.
The sale 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 purchase of shares of Class A Common Stock which occurred in the past six months. Prior to this sale, 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 sold in multiple transactions at prices ranging from $21.10 to $21.15, 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. Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.15 to $21.20, 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,
by Gil Melman, Attorney-in-fact
2017-07-28
/s/ Retailco, LLC, by Gil Melman, Attorney-in-fact
2017-07-28
/s/ TxEx Energy Investments, LLC, by Gil Melman, Attorney-in-fact
2017-07-28