Statement of Changes in Beneficial Ownership (4)
September 17 2021 - 07:39AM
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
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1. Name
and Address of Reporting Person * Bush
Amanda |
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
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
12140 WICKCHESTER LN, SUITE 100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/15/2021
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(Street)
HOUSTON, TX 77079
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 |
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 |
Restricted Stock Unit |
(1) |
9/15/2021 |
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A |
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128 (2) |
|
(3) |
(3) |
Class A Common Stock |
128.0 |
$11.26 (4) |
8095 (5) |
D |
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Explanation of
Responses: |
(1) |
Each restricted stock unit
("Restricted Stock Unit") represents a right to receive, upon
vesting, one share of Class A Common Stock, par value $0.01 per
share (the "Class A Common Stock"), of Via Renewables, Inc., 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 Unit. |
(2) |
These Restricted Stock Units
accrued on outstanding Restricted Stock Units held by the reporting
person as a result of a dividend equivalent payment made to the
holder when the Company paid its most recent quarterly dividend on
the Class A Common Stock. |
(3) |
These Restricted Stock Units
vest in full on May 18, 2022. |
(4) |
The price is based on the
closing price on Wednesday, September 1, 2021. |
(5) |
Balance includes original
grants of Restricted Stock Units and dividend equivalents issued in
additional Restricted Stock Units. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Bush Amanda
12140 WICKCHESTER LN
SUITE 100
HOUSTON, TX 77079 |
X |
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Signatures
|
/s/ Amanda Bush, by Dominique R. Colvard,
Attorney-in-Fact |
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9/16/2021 |
**Signature of
Reporting Person |
Date |
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