0001606268-19-000053 4 1 20190518 20190521 20190521 Hartwick Kenneth Michael 0001489396 4 34 001-36559 19843770 200 CLARENDON STREET BOSTON MA 02116 Spark Energy, Inc. 0001606268 4931 465453215 DE 1231 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 (713) 600-2600 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 4 1 wf-form4_155848358120875.xml FORM 4 FORM 4 OMB APPROVAL [ ] Check this OMB Number: box if no longer UNITED STATES SECURITIES AND EXCHANGE COMMISSION 3235-0287 subject to Washington, D.C. 20549 Estimated Section 16. Form STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF average burden 4 or Form 5 SECURITIES hours per obligations may response... 0.5 continue. See Instruction 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 1. Name and Address of Reporting 2. Issuer Name and Ticker 5. Relationship of Person * or Trading Symbol Reporting Person(s) to Hartwick Kenneth Michael Spark Energy, Inc. [ SPKE Issuer (Check all ] applicable) __X__ Director _____ 10% Owner (Last) (First) (Middle) 3. Date of Earliest _____ Officer (give title 12140 WICKCHESTER LANE SUITE 100 Transaction (MM/DD/YYYY) below) _____ Other 5/18/2019 (specify below) (Street) 4. If Amendment, Date 6. Individual or HOUSTON, TX 77079 Original Filed Joint/Group Filing (Check (City) (State) (Zip) (MM/DD/YYYY) Applicable Line) _X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security 2. Trans. Date 2A. 3. Trans. 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) Deemed Code or Disposed of (D) Securities Form: Direct (D) Indirect Execution (Instr. 8) (Instr. 3, 4 and 5) Beneficially or Indirect (I) Beneficial Date, if Owned Following (Instr. 4) Ownership any Reported (Instr. 4) Transaction(s) (A) (Instr. 3 and 4) or Code V Amount (D) Price Class A Common Stock 5/18/2019 M 4242 (1) A $0 47841 D Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of 2. 3. Trans. Date 3A. 4. Trans. 5. Number of Derivative 6. Date Exercisable 7. Title and Amount of 8. Price 9. Number of 10. 11. Nature Derivate Security Conversion Deemed Code Securities Acquired (A) or and Expiration Date Securities Underlying of derivative Ownership of (Instr. 3) or Execution (Instr. 8) Disposed of (D) Derivative Security Derivative Securities Form of Indirect Exercise Date, if (Instr. 3, 4 and 5) (Instr. 3 and 4) Security Beneficially Derivative Beneficial Price of any (Instr. 5) Owned Security: Ownership Derivative Following Direct (D) (Instr. 4) Security Reported or Transaction(s) Indirect Date Expiration Amount or (Instr. 4) (I) Exercisable Date Title Number of (Instr. 4) Code V (A) (D) Shares Restricted Stock Class A Unit (2) 5/18/2019 M 4242 (1) (2) (2) Common 4242.0 $0 11084 (3) D Stock Restricted Stock Class A Unit (2) 5/18/2019 D 2284 (1) (2) (2) Common 2284.0 $10.25 8800 (3) D Stock Explanation of Responses: (1) 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 of 6,526 restricted stock units (the "Restricted Stock Units") on May 18, 2019. Of the 6,526 Restricted Stock Units, 4,242 Restricted Stock Units were settled in shares of Class A Common Stock and 2,284 Restricted Stock Units were cash settled based on the closing price on May 17, 2019. (2) Each Restricted Stock Unit represents a right to receive, upon vesting, one share of Class A Common Stock of Spark Energy, Inc., 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. (3) Balance includes original grants of Restricted Stock Units and dividend equivalents issued in additional Restricted Stock Units. Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Hartwick Kenneth Michael 12140 WICKCHESTER LANE SUITE 100 X HOUSTON, TX 77079 Signatures /s/ Kenneth M. Hartwick, by C. Alexis Keene as Attorney-in-Fact 5/21/2019 ** Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.