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SPKEP Spark Energy Inc

25.96
0.00 (0.00%)
Last Updated: 01:00:00
Delayed by 15 minutes
Name Symbol Market Type
Spark Energy Inc NASDAQ:SPKEP NASDAQ Preference Share
  Price Change % Change Price Bid Price Offer Price High Price Low Price Open Price Traded Last Trade
  0.00 0.00% 25.96 25.81 26.15 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

11/09/2020 7:22pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Clay Barbara
2. Issuer Name and Ticker or Trading Symbol

Spark Energy, Inc. [ SPKE ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Acting General Counsel and Sec
(Last)          (First)          (Middle)

C/O GOOD COUNSEL SERVICES, LLC, 111 FARMS ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

9/4/2020
(Street)

STAMFORD, CT 06903
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit  (1)9/4/2020  A   27500     (2) (2)Class A Common Stock 27500.0 $0 27500 D  

Explanation of Responses:
(1) Each restricted stock unit ("RSU") represents the right to receive, upon vesting, one share of Class A Common Stock, par value $0.01 per share (tee "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.
(2) These RSUs vest 50 percent on May 18, 2021 and 50 percent on May 18, 2022.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Clay Barbara
C/O GOOD COUNSEL SERVICES, LLC
111 FARMS ROAD
STAMFORD, CT 06903


Acting General Counsel and Sec

Signatures
Barbara Clay, by Dominique Colvard, Attorney-in-Fact9/11/2020
**Signature of Reporting PersonDate

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