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Via Renewables, Inc. — Director's Dealing 2021
May 20, 2021
35617_dirs_2021-05-20_f8dca040-5ec9-4223-93bd-cbaea2009439.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: Jones James G II (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-18 | Class A Common Stock | M | 10723 | — | Acquired | 58613 | Direct |
| 2021-05-18 | Class A Common Stock | F | 2681 | $10.70 | Disposed | 55932 | Direct |
| 2021-05-18 | Class A Common Stock | M | 5389 | — | Acquired | 61321 | Direct |
| 2021-05-18 | Class A Common Stock | F | 1349 | $10.70 | Disposed | 59972 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-18 | Restricted Stock Unit | $ | M | 10723 | Disposed | Class A Common Stock (10723.0) | Direct | |
| 2021-05-18 | Restricted Stock Unit | $ | M | 5389 | Disposed | Class A Common Stock (5389.0) | Direct | |
| 2021-05-18 | Restricted Stock Unit | $ | A | 52247 | Acquired | Class A Common Stock (52247.0) | Direct |
Footnotes
F1: The shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), reported represent shares issued as a result of vesting of 10,723 restricted stock units (the "Restricted Stock Units") on May 18, 2020.
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: The shares of Class A Common Stock reported represent shares issued as a result of vesting of 5,389 Restricted Stock Units on May 18, 2020.
F4: 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.
F5: These Restricted Stock Units vest ratably over four years beginning on May 18, 2021.
F6: Balance includes original grants of Restricted Stock Units and dividend equivalents issued in additional Restricted Stock Units.
F7: These Restricted Stock Units vest ratably over three years beginning on May 18, 2020.
F8: These Restricted Stock Units vest ratably over the next four years beginning on May 18, 2022.