Check this box if no
longer subject to Section 16. Form 4 or
Washington, D.C. 20549
Form 5 obligations may STATEMENT OF CHANGES
IN BENEFICIAL OWNERSHIP OF SECURITIES
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 Person Maxwell W. Keith III |
2. Issuer
Name and Ticker or Trading Symbol Via Renewables, Inc. [VIA] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10%
Owner X Officer (give title
below Chief Executive Officer |
(Last) (First) (Middle) 12140 Wickchester Lane Suite 100 |
3. Date of Earliest Transaction (Month/Day/Year) 11/14/2022 |
|
(Street) Houston TX 77079 |
4. If Amendment, Date Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing
(Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person |
(City) (State) (Zip) |
Table I - Non-Derivative Securities
Acquired, Disposed of, or Beneficially Owned
1.Title of Security (Instr. 3) |
2.
Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date,
if any (Month/Day/Year) |
3. Transaction 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 |
11/14/2022 |
|
P |
|
2,000 |
A |
$7.065 (1) |
3,675,248 |
D |
|
Table II -
Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts,
calls, warrants, options, convertible securities)
1. Title
of Derivative Security (Instr.
3) |
2. Conversion or Exercise
Price of Derivative Security |
3.
Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date,
if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title
and Amount of Underlying Securities (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 |
||||||||
Explanation of Responses:
(1) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.08, inclusive. The reporting person undertakes to provide to Via Renewables, Inc., any security holder of Via Renewables, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
/s/ W. Keith Maxwell III, by Barbara Clay, Attorney- in-Fact
11/16/2022
**Signature of Reporting Person Date
* 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.
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who are to respond to the collection of information contained in this form are not required to respond unless
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