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Via Renewables, Inc. — Director's Dealing 2018
Oct 2, 2018
35617_dirs_2018-10-02_efdaafbc-f923-494e-af99-474ddf8aba20.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: 2018-09-27
Reporting Person: Maxwell W Keith III (Director, 10% Owner)
Reporting Person: TxEx Energy Investments, LLC (10% Owner)
Reporting Person: Retailco, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-09-27 | Class A Common Stock | P | 72304 | $8.20 | Acquired | 1132738 | Direct |
| 2018-09-28 | Class A Common Stock | P | 51600 | $8.19 | Acquired | 1184338 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 642882 | 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.
F2: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.15 to $8.245, 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.
F3: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.15 to $8.20, 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.
F4: 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.