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Via Renewables, Inc. — Director's Dealing 2019
Apr 4, 2019
35617_dirs_2019-04-04_60968fbd-ab66-4ba4-ac85-59cb95d65e0d.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: 2017-09-13
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 |
|---|---|---|---|---|---|---|---|
| 2017-09-13 | Class A Common Stock | P | 4500 | $15.91 | Acquired | 810073 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 715382 | 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. The reporting person has agreed to disgorge any short swing profits associated with such matching transactions.
F2: The price reported in Column 4, is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.84 to $16.00, 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 number of shares of Class A common stock reported as holdings has been updated to reflect the unreported transaction, as well as other unreported transactions and amendments to existing Form 4s filed on or about the date hereof.
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.