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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Maxwell W Keith III 12140 WICKCHESTER LANE, SUITE 100 HOUSTON, TX 77079 |
X | X | ||
Retailco, LLC 12140 WICKCHESTER LANE SUITE 100 HOUSTON, TX 77079 |
X | |||
TxEx Energy Investments, LLC 12140 WICKCHESTER LANE SUITE 100 HOUSTON, TX 77079 |
X |
/s/ W. Keith Maxwell III | 04/04/2019 | |
**Signature of Reporting Person | Date | |
/s/ W. Keith Maxwell III, Chief Executive Officer of Retailco, LLC | 04/04/2019 | |
**Signature of Reporting Person | Date | |
/s/ W. Keith Maxwell III, Chief Executive Officer of TxEx Energy Investments, LLC | 04/04/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Amendment is being filed to correctly reflect a purchase of 30,800 shares of Spark Energy, Inc.'s Class A common stock instead of 30,440 shares of Class A common stock, as reported on the original Form 4. The number of shares of Class A common stock reported as holdings has been updated from 774,399 shares of Class A common stock to 783,673 shares of Class A common stock to reflect the correct transaction amount, as well as other unreported transactions that are being reported on or about the date hereof and an amount representing increased shares as a result of underreporting existing as of the split of the Class A common stock on June 16, 2017. The purchase 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. The reporting person has agreed to disgorge any short swing profits associated with such matching transactions. |
(2) | The price reported in column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $15.40 to $15.64, 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. |