Amended Current Report Filing (8-k/a)
October 13 2020 - 4:47PM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K/A
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): October 13, 2020 (May 20, 2020)
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Spark Energy, Inc.
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(Exact Name of Registrant as Specified in its Charter)
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Delaware
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001-36559
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46-5453215
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification Number)
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12140 Wickchester Ln, Suite 100
Houston, Texas 77079
(Address of principal executive offices)
(713) 600-2600
(Registrant's telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbols(s)
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Name of exchange on which registered
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Class A common stock, par value $0.01 per share
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SPKE
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The NASDAQ Global Select Market
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8.75% Series A Fixed-to-Floating Rate
Cumulative Redeemable Perpetual Preferred Stock, par value $0.01 per share
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SPKEP
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The NASDAQ Global Select Market
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
EXPLANATORY NOTE
This Current Report on Form 8-K/A (the “Amendment”) updates information disclosed in a Current Report on Form 8-K filed on May 26, 2020 (the “Original Form 8-K”) relating to the Annual Meeting of Shareholders of Spark Energy, Inc. (the “Company”) held on May 20, 2020 (the “Annual Meeting”). The sole purpose of this Amendment is to disclose the Company’s decision regarding how frequently it will conduct future advisory votes on executive compensation.
Item 5.07 Submission of Matters to a Vote of Security Holders.
As previously reported in the Original Form 8-K, at the Annual Meeting, an advisory vote was conducted on the frequency of a vote approving, on an advisory basis, the compensation of the Company’s Named Executive Officers. The Company’s Board of Directors recommended an advisory vote every year on the compensation of the Company’s Named Executive Officers, and the plurality of the shares present in person or represented by proxy at the Annual Meeting and entitled to vote on the matter voted in favor of annual advisory votes. The Board of Directors has considered the outcome of this advisory vote and has determined that the Company will hold a vote approving, on an advisory basis, the compensation of the Company’s Named Executive Officers every year until the next advisory vote on the frequency of shareholder votes on the compensation of the Company's Named Executive Officers, which is required to occur no later than 2026, or until the Company otherwise determines that a different frequency for such votes is in the best interests of the Company’s shareholders.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: October 13, 2020
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Spark Energy, Inc.
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By:
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/s/ James G. Jones II
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Name:
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James G Jones II
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Title:
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Chief Financial Officer
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