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Via Renewables, Inc. — Director's Dealing 2021
May 20, 2021
35617_dirs_2021-05-20_8562d6a4-27ab-4701-a066-00747948c892.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: 2021-05-18
Reporting Person: Maxwell W Keith III (Director, CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-18 | Class A Common Stock | M | 52521 | — | Acquired | 2662521 | Direct |
| 2021-05-18 | Class A Common Stock | F | 12980 | $10.70 | Disposed | 2649541 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-18 | Restricted Stock Unit | $ | A | 52521 | Acquired | Class A Common Stock (52521.0) | Direct | |
| 2021-05-18 | Restricted Stock Unit | $ | A | 157563 | Acquired | Class A Common Stock (157563.0) | Direct | |
| 2021-05-18 | Restricted Stock Unit | $ | M | 52521 | Disposed | Class A Common Stock (52521.0) | Direct |
Footnotes
F1: The shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock), reported represents shares issued as a result of vesting 52,521 restricted stock units (the "Restricted Stock Units") on May 18, 2021.
F2: Payment for tax liability through the withholding of shares of Class A Common Stock in an amount equal to the requisite withholding obligation.
F3: Each Restricted Stock Unit represents a right to receive, upon vesting, one share of Class A Common Stock, cash, or a combination of both. Each Restricted Stock Unit includes tandem dividend equivalents which will vest upon the same schedule as the underlying Restricted Stock Unit.
F4: These Restricted Stock Units vested simultaneously with grant on May 18, 2021.
F5: These Restricted Stock Units vest ratably over four years beginning on May 21, 2022.