UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): May 19, 2021
| | | | | | | | |
| Spark Energy, Inc. |
| (Exact Name of Registrant as Specified in its Charter) |
| |
| | |
| Delaware | 001-36559 | 46-5453215 |
(State or Other Jurisdiction
of Incorporation) | (Commission
File Number) | (IRS Employer
Identification Number) |
| | |
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:
| | | | | | | | |
| Title of each class | Trading Symbols(s) | Name of exchange on which registered |
| Class A common stock, par value $0.01 per share | SPKE | The NASDAQ Global Select Market |
8.75% Series A Fixed-to-Floating Rate
Cumulative Redeemable Perpetual Preferred Stock, par value $0.01 per share | SPKEP | The NASDAQ Global Select Market |
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.
Item 5.07. Submission of Matters to a Vote of Security Holders.
Spark Energy, Inc. (the “Company”) held its 2021 Annual Meeting of Shareholders on May 19, 2021 (“Annual Meeting”). A total of 28,801,549 shares of the Company’s Class A common stock, par value $0.01 per share (the “Class A common stock”), and Class B common stock, par value $0.01 per share (the “Class B common stock” and, together with the Class A common stock, the “Common Stock”), representing 81.29% of the total shares of Common Stock outstanding and eligible to vote as of the record date, were represented in person or by valid proxies at the Annual Meeting. This percentage constituted a quorum. The final results for each of the matters submitted to a vote of shareholders at the Annual Meeting were as follows:
Proposal 1: The following nominees were elected to serve as a Class I directors for a term expiring at the 2024 Annual Meeting by the votes set forth in the table below:
| | | | | | | | | | | | | | |
| Nominee | For | Withheld | | Broker Non-Votes |
| W. Keith Maxwell III | 24,660,269 | 1,122,954 | | 3,018,326 |
| Kenneth M. Hartwick | 24,221,473 | 1,561,750 | | 3,018,326 |
Proposal 2: The appointment of Ernst & Young LLP as the Company’s independent registered public accountant for the year ending December 31, 2021 was ratified by the Company’s shareholders by the votes set forth in the table below:
| | | | | | | | | | | | | | | | | |
| For | Against | Abstain | | Broker Non-Votes |
| 28,624,324 | 134,293 | 42,932 | — |
Proposal 3: The compensation of the Company’s Named Executive Officers was approved, on an advisory basis, by the votes set forth in the table below:
| | | | | | | | | | | | | | |
| For | Against | Abstain | | Broker Non-Votes |
| 25,252,816 | 405,871 | 124,536 | | 3,018,326 |
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: May 19, 2021
| | | | | | | | |
|
| | |
| Spark Energy, Inc. |
|
| By: | /s/ James G. Jones II | |
| Name: | James G Jones II |
| Title: | Chief Financial Officer |
