0001606268-18-000111.txt : 20181109
0001606268-18-000111.hdr.sgml : 20181109
20181109093742
ACCESSION NUMBER: 0001606268-18-000111
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181106
FILED AS OF DATE: 20181109
DATE AS OF CHANGE: 20181109
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Maxwell W Keith III
CENTRAL INDEX KEY: 0001582187
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36559
FILM NUMBER: 181171618
MAIL ADDRESS:
STREET 1: 12140 WICKCHESTER LANE
STREET 2: SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Retailco, LLC
CENTRAL INDEX KEY: 0001664233
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36559
FILM NUMBER: 181171619
BUSINESS ADDRESS:
STREET 1: 12140 WICKCHESTER LANE, SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
BUSINESS PHONE: 832-200-3792
MAIL ADDRESS:
STREET 1: 12140 WICKCHESTER LANE, SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TxEx Energy Investments, LLC
CENTRAL INDEX KEY: 0001664236
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36559
FILM NUMBER: 181171620
BUSINESS ADDRESS:
STREET 1: 12140 WICKCHESTER LANE, SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
BUSINESS PHONE: 832-200-3792
MAIL ADDRESS:
STREET 1: 12140 WICKCHESTER LANE, SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Spark Energy, Inc.
CENTRAL INDEX KEY: 0001606268
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931]
IRS NUMBER: 465453215
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 12140 WICKCHESTER LANE
STREET 2: SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
BUSINESS PHONE: (713) 600-2600
MAIL ADDRESS:
STREET 1: 12140 WICKCHESTER LANE
STREET 2: SUITE 100
CITY: HOUSTON
STATE: TX
ZIP: 77079
4
1
wf-form4_154177397690577.xml
FORM 4
X0306
4
2018-11-06
0
0001606268
Spark Energy, Inc.
SPKE
0001582187
Maxwell W Keith III
12140 WICKCHESTER LANE, SUITE 100
HOUSTON
TX
77079
1
0
1
0
0001664233
Retailco, LLC
12140 WICKCHESTER LANE
SUITE 100
HOUSTON
TX
77079
0
0
1
0
0001664236
TxEx Energy Investments, LLC
12140 WICKCHESTER LANE
SUITE 100
HOUSTON
TX
77079
0
0
1
0
Class A Common Stock
2018-11-06
4
P
0
38993
8.48
A
1225831
D
Class A Common Stock
2018-11-07
4
P
0
58387
9.17
A
1284218
D
Class A Common Stock
2018-11-08
4
C
0
685126
0
A
1328008
I
See footnotes
Class B Common Stock/Spark HoldCo Units
2018-11-08
4
C
0
685126
0
D
Class A Common Stock
685126.0
20800000
I
See footnotes
The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.45 to $8.52, 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.
The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.85 to $9.49, 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.
Subject to terms of the Third Amended and Restated Limited Liability Company Agreement of Spark HoldCo, LLC, the units of Spark HoldCo, LLC (the "Spark HoldCo Units"), together with a corresponding number of shares of Class B Common Stock of Spark Energy, Inc (the "Issuer") may be exchanged, at any time and from time to time, for Class A Common Stock of the Issuer (or cash at the Issurer or Spark HoldCo's election) at an exchange ratio of one share of Class A Common Stock for each Spark HoldCo Unit (and corresponding share of Class B Common Stock).
Held directly by Retailco, LLC ("Retailco"). Retailco is a wholly-owned subsidiary of TxEx Energy Investments, LLC ("TxEx"). which is wholly owned by W. Keith Maxwell III.
On November 8, 2018, Retailco elected to convert 685,126 Spark HoldCo Units, together with a corresponding number of shares of Class B Common Stock, into 685,126 shares of Class A Common Stock.
20,525,000 shares are held directly by Retailco (see footnote 4 above) and 275,000 shares are held directly by NuDevco Retail, LLC. NuDevco Retail, LLC is a wholly-owned subsidiary of NuDevco Retail Holdings, which is a wholly-owned subsidiary of Electric Holdco, LLC, which is a wholly-owned subsidiary of TxEx, which is wholly-owned by W. Keith Maxwell.
/s/ W. Keith Maxwell III,
by Gil Melman, Attorney-in-fact
2018-11-09
/s/ Retailco, LLC, by Gil Melman, Attorney-in-fact
2018-11-09
/s/ TxEx Energy Investments, LLC, by Gil Melman, Attorney-in-fact
2018-11-09