0001606268-21-000128 3/A 1 20211105 20211117 20211117 Barajas Mike 0001893326 3/A 34 001-36559 211420223 12140 WICKCHESTER LN STE 100 HOUSTON TX 77079 Via Renewables, 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 Spark Energy, Inc. 20140423 3/A 1 wf-form3a_163717692010449.xml FORM 3/A FORM 3 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: Washington, D.C. 20549 3235-0104 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF Estimated SECURITIES average burden hours per response... 0.5 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. Date of Event 3. Issuer Name and Ticker or Trading Person * Requiring Symbol Barajas Mike Statement Via Renewables, Inc. [VIA] (MM/DD/YYYY) 11/5/2021 (Last) (First) (Middle) 4. Relationship of Reporting Person(s) to Issuer (Check 12140 WICKCHESTER LN, STE 100 all applicable) _____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / (Street) 5. If Amendment, 6. Individual or Joint/Group HOUSTON, TX 77079 Date Original Filing(Check Applicable Line) (City) (State) (Zip) Filed(MM/DD/YYYY) _X_ Form filed by One Reporting Person 11/12/2021 ___ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Beneficially Owned 1.Title of Security 2. Amount of 3. 4. Nature of Indirect (Instr. 4) Securities Ownership Beneficial Ownership Beneficially Form: (Instr. 5) Owned Direct (Instr. 4) (D) or Indirect (I) (Instr. 5) Class A Common Stock 1513 D Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivate Security 2. Date Exercisable 3. Title and 4. 5. 6. Nature of (Instr. 4) and Expiration Date Amount of Conversion Ownership Indirect (MM/DD/YYYY) Securities or Form of Beneficial Underlying Exercise Derivative Ownership Derivative Price of Security: (Instr. 5) Security Derivative Direct (D) (Instr. 4) Security or Indirect (I) Date Expiration Title Amount (Instr. 5) Exercisable Date or Number of Shares Class A Restricted Stock Unit (1) (1) Common 7486.0 (2) D Stock Explanation of Responses: (1) These RSUs vest ratably over 4 years beginning on the year following the date of grant. (2) Each restricted stock unit ("RSU") represents the right to receive, upon vesting, one share of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") of Via Renewables, Inc., cash, or a combination of both. Each RSU includes tandem dividend equivalents which will vest upon the same schedule as the underlying RSU. Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Barajas Mike 12140 WICKCHESTER LN Chief Financial Officer STE 100 HOUSTON, TX 77079 Signatures /s/ Mike Barajas, By Dominique Colvard, attorney-in-fact 11/17/2021 ** 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 5(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.