0001628280-16-010818.txt : 20160205 0001628280-16-010818.hdr.sgml : 20160205 20160205184426 ACCESSION NUMBER: 0001628280-16-010818 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160204 FILED AS OF DATE: 20160205 DATE AS OF CHANGE: 20160205 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: 2105 CITYWEST BLVD. STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77042 BUSINESS PHONE: (713) 600-2600 MAIL ADDRESS: STREET 1: 2105 CITYWEST BLVD. STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77042 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: 161393594 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: 161393595 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: 161393596 MAIL ADDRESS: STREET 1: 2105 CITY WEST BOULEVARD STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77042 4 1 wf-form4_145471585424970.xml FORM 4 X0306 4 2016-02-04 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 2016-02-04 4 S 0 14300 25.4494 D 985700 I See footnote Class A Common Stock 92850 D The sale of Class A Common Stock reported herein by Retailco, LLC ("Retailco") was matchable under Section 16(b) of the Securities and Exchange Act of 1934, as amended, with the purchase by W. Keith Maxwell III, the indirect owner of Retailco, of 14,300 shares of Class A Common Stock of which 2,500 shares were purchased September 4, 2015; 2,500 shares were purchased on September 8, 2015; and 9,300 shares were purchased on December 1, 2015. W. Keith Maxwell III has agreed to pay Spark Energy, Inc., upon settlement of the sale $118,475.69, representing the full amount of the profit realized in connection with the short-swing transaction. The price reported in column 4, is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.00 to $25.635, 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. /s/ W. Keith Maxwell III, by Gil Melman, Attorney-in-fact 2016-02-05 /s/ TxEx Investments, LLC, by Gil Melman, Attorney-in-fact 2016-02-05 /s/ Retailco, LLC, by Gil Melman, Attorney-in-fact 2016-02-05