FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
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Maxwell W Keith III |
2. Issuer Name
and
Ticker or Trading Symbol
Spark Energy, Inc. [ SPKE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
2105 CITYWEST BOULEVARD, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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HOUSTON, TX 77042 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 5/28/2015 | P | 100 | A | $13.82 | 17750 | D (1) (2) (3) | |||
Class A Common Stock | 5/28/2015 | P | 200 | A | $13.76 | 17950 | D (2) (3) (1) | |||
Class A Common Stock | 5/28/2015 | P | 4700 | A | $13.816 | 22650 | D (2) (3) (1) | |||
Class A Common Stock | 5/28/2015 | P | 39 | A | $13.71 | 22689 | D (2) (3) (1) | |||
Class A Common Stock | 5/28/2015 | P | 100 | A | $13.747 | 22789 | D (2) (3) (1) | |||
Class A Common Stock | 5/28/2015 | P | 2361 | A | $13.742 | 25150 | D (2) (3) (1) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Maxwell W Keith III
2105 CITYWEST BOULEVARD, SUITE 100 HOUSTON, TX 77042 |
X | X |
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NuDevco Partners, LLC
2105 CITYWEST BOULEVARD, SUITE 100 HOUSTON, TX 77042 |
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X |
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NuDevco Partners Holdings, LLC
2105 CITYWEST BOULEVARD, SUITE 100 HOUSTON, TX 77042 |
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X |
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NuDevco Retail Holdings,LLC
2105 CITYWEST BOULEVARD, SUITE 100 HOUSTON, TX 77042 |
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X |
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NuDevco Retail, LLC
2105 CITYWEST BOULEVARD, SUITE 100 HOUSTON, TX 77042 |
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X |
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Signatures
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/s/ W. Keith Maxwell III, /s/ NuDevco Partners, LLC /s/ NuDevco Partners Holdings, LLC, /s/ NuDevco Retail Holdings, LLC, /s/ NuDevco Retail, LLC, by Gil Melman, Attorney-in-fact | 6/1/2015 | |
** Signature of Reporting Person |
Date
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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. |