0001606268-21-000111 4/A 1 20210518 20211110 20211110 Clay Barbara 0001824354 4/A 34 001-36559 211396185 C/O GOOD COUNSEL SERVICES, LLC 111 FARMS ROAD STAMFORD CT 06903 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 4/A 1 wf-form4a_163657503335242.xml FORM 4/A FORM 4 OMB APPROVAL [ ] Check this OMB Number: box if no longer UNITED STATES SECURITIES AND EXCHANGE COMMISSION 3235-0287 subject to Washington, D.C. 20549 Estimated Section 16. Form STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF average burden 4 or Form 5 SECURITIES hours per obligations may response... 0.5 continue. See Instruction 1(b). 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. Issuer Name and Ticker 5. Relationship of Person * or Trading Symbol Reporting Person(s) to Clay Barbara Via Renewables, Inc. [ VIA Issuer (Check all ] applicable) _____ Director _____ 10% Owner __X__ Officer (give title (Last) (First) (Middle) 3. Date of Earliest below) _____ Other C/O GOOD COUNSEL GROUP, LLC, 111 Transaction (MM/DD/YYYY) (specify below) FARMS ROAD 5/18/2021 Acting General Counsel and Sec (Street) 4. If Amendment, Date 6. Individual or STAMFORD, CT 06903 Original Filed Joint/Group Filing (Check (City) (State) (Zip) (MM/DD/YYYY) Applicable Line) 5/20/2021 _X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security 2. Trans. Date 2A. 3. Trans. 4. Securities Acquired (A) or Disposed 5. Amount of 6. Ownership 7. Nature of (Instr. 3) Deemed Code of (D) Securities Form: Direct (D) Indirect Execution (Instr. 8) (Instr. 3, 4 and 5) Beneficially or Indirect (I) Beneficial Date, if Owned Following (Instr. 4) Ownership (Instr. any Reported 4) Transaction(s) (A) (Instr. 3 and 4) or Code V Amount (D) Price Class A Common Stock 5/18/2021 M 14261 (1) A $0 14261 D Class A Common Stock 5/18/2021 D 6274 (1) (2) D $10.70 7987 D Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of 2. 3. Trans. Date 3A. 4. Trans. 5. Number of 6. Date Exercisable 7. Title and Amount of 8. Price 9. Number of 10. 11. Nature Derivate Conversion Deemed Code Derivative and Expiration Date Securities Underlying of derivative Ownership of Security or Execution (Instr. 8) Securities Derivative Security Derivative Securities Form of Indirect (Instr. 3) Exercise Date, if Acquired (A) or (Instr. 3 and 4) Security Beneficially Derivative Beneficial Price of any Disposed of (D) (Instr. 5) Owned Security: Ownership Derivative (Instr. 3, 4 and Following Direct (D) (Instr. 4) Security 5) Reported or Transaction(s) Indirect Date Expiration Amount or (Instr. 4) (I) Exercisable Date Title Number of (Instr. 4) Code V (A) (D) Shares Restricted Stock Class A Unit (3) 5/18/2021 M 14261 (4) (4) Common 14261.0 $0 14261 D Stock Explanation of Responses: (1) The shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), reported represent shares issued as a result of vesting of 14,261 restricted stock units (the "Restricted Stock Units") on May 18, 2021. Of the 14,261 Restricted Stock Units, 7,987 Restricted Stock Units were settled in shares of Class A Common Stock and 6,274 Restricted Stock Units were cash settled based on the closing price on the date of vesting. (2) This amendment is being filed to update the shares reported in column 4, which were inadvertently misstated on the original Form 4. The correct number of shares that we settled in cash is 6,274 shares. (3) Each Restricted Stock Unit represents a right to receive, upon vesting, one share of Class A Common Stock, cash or a combination of both. Each Restricted Stock Unit includes tandem dividend equivalents which will vest upon the same schedule as the underlying Restricted Stock Units. (4) The Restricted Stock Units were scheduled to vest 50% on May 18, 2021 and 50% on May 18, 2022. Remarks: See Footnote 2 for correction. Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Clay Barbara C/O GOOD COUNSEL GROUP, LLC Acting General Counsel and 111 FARMS ROAD Sec STAMFORD, CT 06903 Signatures Barbara Clay, by Dominique Colvard, Attorney-in-Fact 11/10/2021 ** 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 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.