Statement of Changes in Beneficial Ownership (4)
August 18 2021 - 11:16AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
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APPROVAL
OMB Number: 3235-0287
Estimated average burden
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|
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 __X__
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CEO |
|
(Last)
(First)
(Middle)
12140 WICKCHESTER LANE, SUITE 100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
8/11/2021
|
|
(Street)
HOUSTON, TX 77079
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _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
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
8/11/2021 |
|
P |
|
4451 |
A |
$11.18 (1) |
3481453 |
D |
|
|
Class A Common Stock |
8/12/2021 |
|
P |
|
1449 |
A |
$11.09 (2) |
3482902 |
D |
|
|
Class A Common Stock |
8/13/2021 |
|
P |
|
600 |
A |
$11.23 (3) |
3483502 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying
Derivative Security
(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 $11.13 to $11.35,
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. |
| (2) |
The price reported in Column
4 is a weighted average price. These shares were purchased in
multiple transactions at prices ranging from $11.01 to $11.21,
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. |
| (3) |
The price reported in Column
4 is a weighted average price. These shares were purchased in
multiple transactions at prices ranging from $11.07 to $11.31,
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. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Maxwell W Keith III
12140 WICKCHESTER LANE, SUITE 100
HOUSTON, TX 77079 |
X |
X |
CEO |
|
Signatures
|
|
/s/ W. Keith Maxwell III, by Dominique R.
Colvard, Attorney-in-Fact |
|
8/18/2021 |
| **Signature of
Reporting Person |
Date |
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