0001209191-23-031428.txt : 20230522 0001209191-23-031428.hdr.sgml : 20230522 20230522161322 ACCESSION NUMBER: 0001209191-23-031428 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230518 FILED AS OF DATE: 20230522 DATE AS OF CHANGE: 20230522 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maxwell W Keith III CENTRAL INDEX KEY: 0001582187 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 23944562 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Via Renewables, Inc. CENTRAL INDEX KEY: 0001606268 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 465453215 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12140 WICKCHESTER LANE STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: (713) 600-2600 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 FORMER COMPANY: FORMER CONFORMED NAME: Spark Energy, Inc. DATE OF NAME CHANGE: 20140423 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-05-18 0 0001606268 Via Renewables, Inc. VIA 0001582187 Maxwell W Keith III 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 1 1 0 0 Chief Executive Officer 0 Class A Common Stock 2023-05-18 4 M 0 27346 0.00 A 761096 D Class A Common Stock 2023-05-18 4 F 0 10948 12.46 D 750148 D Class A Common Stock 2023-05-18 4 M 0 9422 0.00 A 759570 D Class A Common Stock 2023-05-18 4 F 0 3772 12.46 D 755798 D Restricted Stock Unit 2023-05-18 4 M 0 27346 0.00 D Class A Common Stock 27346 0 D Restricted Stock Unit 2023-05-18 4 M 0 9422 0.00 D Class A Common Stock 9422 18635 D Restricted Stock Unit 2023-05-18 4 A 0 59454 0.00 A Class A Common Stock 59454 59454 D 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 27,346 restricted stock units (the "Restricted Stock Units") on May 18, 2023. All share counts of Class A Common Stock (and Restricted Stock Units) reported in this Form 4 have been adjusted to reflect the Issuer's 1 for 5 reverse stock split effected on March 21, 2023. Payment for tax liability through the withholding of shares of Class A Common Stock in an amount equal to the requisite withholding obligation. 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 9,422 restricted stock units (the "Restricted Stock Units") on May 18, 2023. 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. These Restricted Stock Units vested in full on May 18, 2023. These Restricted Stock Units vest ratably over four years in May of each year starting in the year following the grant. These Restricted Stock Units vest in full on May 18, 2024. /s/ W. Keith Maxwell III, By Barbara Clay, attorney-in-fact 2023-05-22