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Via Renewables, Inc. — Director's Dealing 2017
May 8, 2017
35617_dirs_2017-05-08_ca86a674-d487-4bbf-b27a-3f3ff4b7fa11.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: 2017-05-04
Reporting Person: Kroeker Nathan (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-04 | Class A Common Stock | M | 14910 | — | Acquired | 49441 | Direct |
| 2017-05-04 | Class A Common Stock | F | 6321 | $32.85 | Disposed | 43120 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-04 | Restricted Stock Unit | $ | M | 14910 | Disposed | Class A Common Stock (14910.0) | Direct |
Footnotes
F1: Payment for tax liability by delivery of Class A Common Stock (the "Common Stock") incident to the vesting on May 4, 2017.
F2: Vesting price is based on the closing price of Common Stock on May 4, 2017, pursuant to the Spark Energy, Inc. Long Term Incentive Plan, as amended.
F3: 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, of Spark Energy, Inc., cash, or a combination of both. Each RSU includes tandem dividend equivalents which will vest upon the same schedule and pays out upon vesting and payout of the underlying award of RSUs to which the dividend equivalent payment relates.