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Via Renewables, Inc. — Director's Dealing 2016
Dec 14, 2016
35617_dirs_2016-12-14_3960efd4-3db5-4210-9938-b8d3c517768f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Spark Energy, Inc. (SPKE)
CIK: 0001606268
Period of Report: 2016-12-12
Reporting Person: Maxwell W Keith III (Director, 10% Owner)
Reporting Person: Retailco, LLC (10% Owner)
Reporting Person: TxEx Energy Investments, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-12 | Class A Common Stock | P | 19050 | $27.78 | Acquired | 214810 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 397000 | Indirect |
Footnotes
F1: 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, with the sale of shares of Class A Common Stock which occurred in the past six months. Prior to this purchase, W. Keith Maxwell has agreed to pay Spark Energy, Inc. the full amount of the profit realized in connection with the short-swing transaction as soon as practicable after information is available for the highest sales price and lowest purchase price during the six month period in which this transaction occurs.
F2: Held directly by Retailco, LLC ("Retailco"). Retailco is a wholly owned subsidiary of TxEx Energy Investments, LLC, which is wholly owned by W. Keith Maxwell.