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Via Renewables, Inc. — Director's Dealing 2018
Aug 22, 2018
35617_dirs_2018-08-22_120f9b2b-cd5f-45bb-8ec3-3b4249a96c90.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: 2018-08-01
Reporting Person: Melman Gil (Vice President General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-21 | Class A Common Stock | S | 15862 | $8.75 | Disposed | 1100 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-08-01 | Restricted Stock Unit | $ | A | 20000 | Acquired | Class A Common Stock (20000.0) | Direct | |
| 2018-08-01 | Restricted Stock Unit | $ | A | 35000 | Acquired | Class A Common Stock (35000.0) | Direct | |
| 2018-08-01 | Restricted Stock Unit | $ | A | 30000 | Acquired | Class A Common Stock (30000.0) | Direct |
Footnotes
F1: 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 (the "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.
F2: These RSUs will vest in full on May 18, 2019.
F3: These RSUs will vest ratably over 4 years commencing May 18, 2019.
F4: These RSUs vest upon certain conditions with a "Change in Control" of Spark Energy, Inc. as such term is defined in the Form of Notice of Grant of Restricted Stock Unit (Change in Control Restricted Stock Units), filed as Exhibit 10.5 to Spark Energy, Inc.'s Quarterly Report on Form 10-Q for the quarter ended June 30, 2018.