FORM 4

Check this box if no longer subject to Section 16. Form 4 or


UNITED STATES SECURITIES AND EXCHANGE COMMISSION

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)    Other (specify 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.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.