0001606268-18-000046.txt : 20180522 0001606268-18-000046.hdr.sgml : 20180522 20180522161107 ACCESSION NUMBER: 0001606268-18-000046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180518 FILED AS OF DATE: 20180522 DATE AS OF CHANGE: 20180522 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hartwick Kenneth Michael CENTRAL INDEX KEY: 0001489396 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 18852557 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02116 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_152701985302331.xml FORM 4 X0306 4 2018-05-18 0 0001606268 Spark Energy, Inc. SPKE 0001489396 Hartwick Kenneth Michael 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 1 0 0 0 Class A Common Stock 2018-05-18 4 M 0 10247 0 A 43599 D Restricted Stock Unit 2018-05-18 4 M 0 15764 0 D Class A Common Stock 15764.0 0 D Restricted Stock Unit 2018-05-18 4 A 0 6049 0 A Class A Common Stock 6049.0 6049 D The shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), reported represent shares issued as a result of vesting of 15,764 restricted stock units (the "Restricted Stock Units") on May 18, 2018. Of the 15,764 Restricted Stock Units, 10,247 Restricted Stock Units were settled in shares of Class A Common Stock and 5,517 Restricted Stock Units were cash settled based on the closing price on the date of vesting. Each Restricted Stock Unit 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 Restricted Stock Unit includes tandem dividend equivalents which will vest upon the same schedule referenced in Footnote 3. Each of these RSUs vests and pays out upon vesting and payout of the underlying award of RSUs to which the dividend equivalent relates. Restricted Stock Units convert into Class A Common Stock on a one-for-one basis or may be cash settled in accordance with the Spark Energy Inc. Amended and Restated Long Term Incentive Plan. The Restricted Stock Units will vest in full on May 18, 2019. Each of these Restricted Stock Units, and all dividend equivalents, will vest and pay out upon vesting of the underlying award of Restricted Stock Units to which the dividend equivalent payment relates. /s/ Kenneth M. Hartwick, by Gil Melman as Attorney-in-Fact 2018-05-22