0000019617-20-000124 SC 13G/A 1 20200121 20200121 Spark Energy, Inc. 0001606268 4931 465453215 DE 1231 SC 13G/A 34 005-88272 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 383 MADISON AVENUE NEW YORK NY 10017 2122706000 383 MADISON 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 FILING SPARK ENERGY, INC. Schedule 13G -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 06)* Spark Energy, Inc. -------------------------------------------------------------------------------- (Name of Issuer) Class A common stock, par value $0.01 per share -------------------------------------------------------------------------------- (Title of Class of Securities) 846511103 -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2019 -------------------------------------------------------------------------------- (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) * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- CUSIP No. 846511103 NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) JPMORGAN CHASE & CO. 13-2624428 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] 2 (b) [ ] SEC USE ONLY 3 CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware SOLE VOTING POWER 5 1,042,470 SHARED VOTING POWER 6 0 SOLE DISPOSITIVE POWER 7 1,130,820 NUMBER OF SHARES SHARED DISPOSITIVE POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 8 0 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,180,120 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) 10 [ ] PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.2 % TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 HC FOOTNOTES -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer Spark Energy, Inc. (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. (b) Address of Principal Business Office or, if none, Residence 383 Madison Avenue New York, NY 10179 (c) Citizenship Delaware (d) Title of Class of Securities Class A common stock, par value $0.01 per share (e) CUSIP Number 846511103 Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); (g) [x] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). (k) [ ] A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: -------------------------------------------------------------------------------- Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 1,180,120 (b) Percent of class: 8.2 % (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 1,042,470 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,130,820 (iv) Shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class 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. Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company J.P. Morgan Investment Management Inc. JPMorgan Chase Bank, National Association Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable -------------------------------------------------------------------------------- Item 10. Certification 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, other than activities solely in connection with a nomination under §240.14a-11. 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. JPMORGAN CHASE & CO. Date: January 21, 2020 By: /s/ Rachel Tsvaygoft Name: Rachel Tsvaygoft Title: Vice President Footnotes: Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) --------------------------------------------------------------------------------