0000019617-16-001114 SC 13G/A 1 20160908 20160908 Spark Energy, Inc. 0001606268 4931 465453215 DE 1231 SC 13G/A 34 005-88272 161875764 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 (713) 600-2600 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 JPMORGAN CHASE & CO 0000019617 6021 132624428 DE 1231 SC 13G/A 270 PARK AVE 38TH FL NEW YORK NY 10017 2122706000 270 PARK AVENUE NEW YORK NY 10017 J P MORGAN CHASE & CO 20010102 CHASE MANHATTAN CORP /DE/ 19960402 CHEMICAL BANKING CORP 19920703 SC 13G/A 1 Spark_Energy_Inc.HTM SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 -------------------------------------------------------------------------------- SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERE TO FILED PURSUANT TO RULE 13d-2(c) ( AMENDMENT 2) -------------------------------------------------------------------------------- Spark Energy, Inc. ( NAME OF ISSUER ) Class A common stock, par value $0.01 per share (Title of Class of Securities) 846511103 (CUSIP Number) August 31, 2016 (Date of Event Which Requires Filing of this Statement) -------------------------------------------------------------------------------- Check the appropriate box to designate the rule pursuant to which this Schedule is filed: X Rule 13d-1 (b) Rule 13d-1 (c) Rule 13d-1 (d) -------------------------------------------------------------------------------- CUSIP No. 846511103 13G/A Page 1 of 3 pages -------------------------------------------------------------------------------- 1. Names of reporting persons JPMorgan Chase & Co. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 13-2624428 -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) -------------------------------------------------------------------------------- 3. SEC USE ONLY -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER 437,500 SHARES BENEFICIALLY 6. SHARED VOTING POWER 1,479 OWNED BY EACH 7. SOLE DISPOSITIVE POWER 449,708 REPORTING PERSON WITH 8. SHARED DISPOSITIVE POWER 71 -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 492,179 -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.5% -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* HC -------------------------------------------------------------------------------- Item 1(a). Name of Issuer: Spark Energy, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 12140 Wickchester Ln, Suite 100 Houston, Texas 77079 Item 2(a). Name of Person Filing: JPMorgan Chase & Co. Item 2(b). Address of Principal Business Office or, if None, Residence: 270 PARK AVE NEW YORK, NY 10017 Item 2(c). Citizenship Delaware Item 2(d). Title of Class of Securities: Class A common stock, par value $0.01 per share Unless otherwise noted, security being reported is common stock Item 2(e). CUSIP Number: 846511103 Item 3 If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) Or (c), Check Whether the Person Filing is a : (a) Broker or dealer registered under Section 15 of the Exchange Act; (b) Bank as defined in Section 3(a)(6) of the Exchange Act; (c) Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) Investment company registered under Section 8 of the Investment Company Act; (e) An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) X A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) A church plan that is excluded from the definition of an Investment company under Section 3(c)(14) of the Investment Company act; (j) Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(b), check this box. X -------------------------------------------------------------------------------- Page 2 of 3 pages Item 4. Ownership Provide the following information regarding the aggregate number and Percentage of the class of securities of issuer identified in Item 1. (a) Amount beneficially owned: 492,179 Including 0 shares where there is a Right to Acquire. (b) Percent of class: 7.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to 437,500 direct the vote: (ii) Shared power to vote or to 1,479 direct the vote: (iii) Sole power to dispose or to 449,708 direct the disposition of: (iv) Shared power to dispose or to 71 direct the disposition of: Item 5. Ownership of Five Percent or Less of a Class. NOT APPLICABLE If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. ( ) Item 6. Ownership of More than Five Percent on Behalf of Another Person. JPMorgan Chase & Co. is the beneficial owner of 492,179 shares of the issuer's common stock on behalf of other persons known to have one or more of the following: the right to receive dividends for such securities; the power to direct the receipt of dividends from such securities; the right to receive the proceeds from the sale of such securities; the right to direct the receipt of proceeds from the sale of such securities; No such person is known to have an interest in more than 5% of the class of securities reported herein unless such person is identified below. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security being reported on by the Parent Holding Company. This notice is filed on behalf of JPMorgan Chase & Co. and its wholly owned Subsidiary (ies), JPMorgan Chase Bank, National Association J.P. Morgan Investment Management Inc. J.P. Morgan Trust Company of Delaware Item 8. Identification and Classification of Members of the Group. Not Applicable Item 9. Notice of Dissolution of Group. Not Applicable Item 10. Certifications By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. -------------------------------------------------------------------------------- Page 3 of 3 pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: September 8, 2016 JPMorgan Chase & Co. By: /s/ Michael T. Lees -------------------------------------- Michael T. Lees Compliance The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of the filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the commission may be incorporated by reference. The name and any title of each person who signs the the statement shall be typed or printed beneath his signature. -------------------------------------------------------------------------------- --------------------------------------------------------------------------------