0001214659-24-011045.txt : 20240617 0001214659-24-011045.hdr.sgml : 20240617 20240617172149 ACCESSION NUMBER: 0001214659-24-011045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240613 FILED AS OF DATE: 20240617 DATE AS OF CHANGE: 20240617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maxwell W Keith III CENTRAL INDEX KEY: 0001582187 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 241049337 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TxEx Energy Investments, LLC CENTRAL INDEX KEY: 0001664236 ORGANIZATION NAME: STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 241049336 BUSINESS ADDRESS: STREET 1: 12140 WICKCHESTER LANE, SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 832-200-3792 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE, SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Retailco, LLC CENTRAL INDEX KEY: 0001664233 ORGANIZATION NAME: STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 241049335 BUSINESS ADDRESS: STREET 1: 12140 WICKCHESTER LANE, SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 832-200-3792 MAIL ADDRESS: STREET 1: 12140 WICKCHESTER LANE, 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] ORGANIZATION NAME: 01 Energy & Transportation 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 marketforms-66336.xml PRIMARY DOCUMENT X0508 4 2024-06-13 0001606268 Via Renewables, Inc. VIA 0001582187 Maxwell W Keith III 12140 WICKCHESTER LANE SUITE 100 HOUSTON TX 77079 true true false false Chief Executive Officer 0001664236 TxEx Energy Investments, LLC 12140 WICKCHESTER LANE, SUITE 100 HOUSTON TX 77079 false false true false 0001664233 Retailco, LLC 12140 WICKCHESTER LANE, SUITE 100 HOUSTON TX 77079 false false true false 0 Class A Common Stock 2024-06-13 4 D false 2533205 A 3323329 I By RetailCo, LLC Restricted Stock Unit 2024-06-13 4 D false 9317 0 D Class A Common Stock 9317 0 D Pursuant to the Agreement and Plan of Merger, dated as of December 29, 2023 (the "Merger Agreement"), by and among the Company, Retailco, LLC, a Texas limited liability company ("Parent"), and NuRetailco, LLC, a Delaware limited liability company and wholly-owned subsidiary of Parent ("Merger Sub"), each share of capital stock of Merger Sub was converted into and represent one fully-paid and nonassessable share of Class A Common Stock. In connection with the transactions under the Merger Agreement, all of the reporting person's shares of Class A Common Stock and Class B Common Stock were conveyed to Parent. Parent is a wholly owned subsidiary of TxEx Energy Investments, LLC. Each Restricted Stock Unit represented a right to receive, upon vesting, one share of Class A Common Stock, cash, or a combination of both. Each Restricted Stock Unit included tandem dividend equivalents which would vest upon the same schedule as the underlying Restricted Stock Units. Pursuant to the Merger Agreement, all of the reporting person's Restricted Stock Units were cancelled and extinguished for no consideration. These Restricted Stock Units were scheduled to vest in full on May 18, 2024. /s/ W. Keith Maxwell III 2024-06-17 /s/ W. Keith Maxwell III, Chief Executive Officer 2024-06-17 /s/ W. Keith Maxwell III, Chief Executive Officer 2024-06-17