0001606268-17-000098.txt : 20170809 0001606268-17-000098.hdr.sgml : 20170809 20170809173421 ACCESSION NUMBER: 0001606268-17-000098 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160518 FILED AS OF DATE: 20170809 DATE AS OF CHANGE: 20170809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kroeker Nathan CENTRAL INDEX KEY: 0001613718 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 171019080 MAIL ADDRESS: STREET 1: 2105 CITYWEST BLVD. STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77042 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_150231444727103.xml FORM 4/A X0306 4/A 2016-05-18 2016-05-20 0 0001606268 Spark Energy, Inc. SPKE 0001613718 Kroeker Nathan 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 1 1 0 0 President & CEO Class A Common Stock 2016-05-18 4 M 0 4073 0 A 35395 D Class A Common Stock 2016-05-18 4 F 0 1116 29.915 D 34279 D Restricted Stock Unit 2016-05-18 4 M 0 4073 0 D Class A Common Stock 4073.0 40555 D Restricted Stock Unit 2016-05-18 4 A 0 25000 0 A Class A Common Stock 25000.0 65555 D On the Form 4 filed on May 18, 2016, the holdings in Table I were inadvertently misstated as 31,324 shares of Class A Common Stock, par value $0.01 per share (Class A Common Stock"). In Table II the total number of Restricted Stock Units ("RSU") was inadvertently overstated by 4,073 RSUs. The shares of Class A Common Stock reported represent shares issued as a result of vesting of 4,073 RSUs on May 18, 2016. Payment for tax liability through the withholding of shares of Class A Common Stock vesting on May 18, 2016 in an amount equal to the requisite withholding obligation. Vesting price is based on the closing price of Class A Common Stock on May 18, 2016, pursuant to the Spark Energy, Inc. Long Term Incentive Plan. Each RSU represents a right to receive, upon vesting, one share of Class A Common Stock of Spark Energy, Inc., cash, or a combination of both. Each RSU includes tandem dividend equivalents which will vest upon the same schedule referenced in footnote 5. The RSUs will vest ratably over four years commencing May 18, 2017. /s/ Nathan Kroeker, by Gil Melman as Attorney-in-Fact 2017-08-09