0001606268-19-000080.txt : 20190618 0001606268-19-000080.hdr.sgml : 20190618 20190618152915 ACCESSION NUMBER: 0001606268-19-000080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190614 FILED AS OF DATE: 20190618 DATE AS OF CHANGE: 20190618 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kroeker Nathan CENTRAL INDEX KEY: 0001613718 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 19903604 MAIL ADDRESS: STREET 1: 12160 WICKCHESTER LN STREET 2: 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_156088613996493.xml FORM 4 X0306 4 2019-06-14 0 0001606268 Spark Energy, Inc. SPKE 0001613718 Kroeker Nathan 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 1 1 0 0 President & CEO Restricted Stock Unit 2019-06-14 4 A 0 3225 9.80 A Class A Common Stock 3225.0 177625 D Restricted Stock Unit 2019-06-14 4 A 0 4527 9.80 A Class A Common Stock 4527.0 249302 D Each restricted stock unit ("RSU") represents a right to receive, upon vesting, one share of Class A Common Stock, par value $0.01 per share (the "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 as the underlying RSU. These RSUs accrued on outstanding RSUs held by the reporting person as a result of a dividend equivalent payment made to the holder when the Company paid its most recent quarterly dividend on the Class A Common Stock. These RSUs vest ratably over four years in May of each year starting in the year following the grant. Balance includes original grants of RSUs and dividend equivalents issued in additional RSUs. These RSUs vest upon certain conditions in connection with a "Change in Control" of Spark Energy, Inc. as such term is defined in the Form of Notice of Grant of Restricted Stock Unit (Change in Control Restricted Stock Units), filed as Exhibit 10.5 to Spark Energy, Inc.'s Quarterly Report on Form 10-Q for quarter ended June 30, 2018. On the Form 4 filed on May 19, 2019, a grant of 160,000 RSUs was incorrectly reported as 180,000 RSUs. This Form 4 reports the correct holdings. /s/ Nathan Kroeker, by C. Alexis Keene as Attorney-in-Fact 2019-06-18