0001209191-22-030919.txt : 20220520
0001209191-22-030919.hdr.sgml : 20220520
20220520145857
ACCESSION NUMBER: 0001209191-22-030919
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220518
FILED AS OF DATE: 20220520
DATE AS OF CHANGE: 20220520
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: 22947115
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
X0306
4
2022-05-18
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
Class A Common Stock
2022-05-18
4
M
0
42070
0.00
A
3597072
D
Class A Common Stock
2022-05-18
4
F
0
12100
8.21
D
3584972
D
Class A Common Stock
2022-05-18
4
M
0
123916
0.00
A
3708888
D
Class A Common Stock
2022-05-18
4
F
0
35640
8.21
D
3673248
D
Restricted Stock Unit
2022-05-18
4
M
0
42070
0.00
D
Class A Common Stock
42070
126209
D
Restricted Stock Unit
2022-05-18
4
A
0
123916
0.00
A
Class A Common Stock
123916
123916
D
Restricted Stock Unit
2022-05-18
4
M
0
123916
0.00
D
Class A Common Stock
123916
0
D
Restricted Stock Unit
2022-05-18
4
A
0
123915
0.00
A
Class A Common Stock
123915
123915
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 42,070 and 123,916 restricted stock units (the "Restricted Stock Units") on May 18, 2022.
Payment for tax liability through the withholding of shares of Class A Common Stock in an amount equal to the requisite withholding obligation.
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 vest ratably over four years in May of each year starting in the year following the grant.
These Restricted Stock Units vested simultaneously with grant on May 18, 2022.
These Restricted Stock Units vest in full on May 18, 2023.
/s/ W. Keith Maxwell III, By Barbara Clay, attorney-in-fact
2022-05-20
EX-24
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY EXHIBIT 24
FOR EXECUTING FORM ID, FORMS 3, FORMS 4 AND FORMS 5,
FORM 144 AND SCHEDULE 13D AND SCHEDULE 13G
The undersigned hereby constitutes and appoints Barbara Clay,
Adam Swonke and Mike Barajas, or any one of them acting without
the others, with full power of substitution, as the undersigned's
true and lawful attorney-in-fact to:
(1) Execute for and on behalf of the undersigned a Form ID
(including amendments thereto), or any other forms prescribed
by the Securities and Exchange Commission, that may be necessary
to obtain codes and passwords enabling the undersigned to make
electronic filings with the Securities and Exchange Commission
of the forms referenced in clause (2) below; (2) Execute for
and on behalf of the undersigned any (a) Form 3, Form 4 and
Form 5 (including amendments thereto) in accordance with
Section 16(a) of the Securities Exchange Act of 1934, as amended
(the "Exchange Act"), (b) Form 144 (including amendments thereto)
and (c) Schedule 13D and Schedule 13G (including amendments thereto)
in accordance with Sections 13(d) and 13(g) of the Exchange Act,
but only to the extent each form or schedule relates to the
undersigned's beneficial ownership of securities of Via Renewables,
Inc. or any of its subsidiaries;
(3) Do and perform any and all acts for and on behalf of
the undersigned that may be necessary or desirable to complete
and execute any Form ID, Form 3, Form 4, Form 5, Form 144, Schedule
13D or Schedule 13G (including amendments thereto) and timely file
the forms or schedules with the Securities and Exchange Commission
and any stock exchange or quotation system, self-regulatory association
or any other authority, and provide a copy as required by law or
advisable to such persons as the attorney-in-fact deems appropriate;
and (4) Take any other action in connection with the foregoing that,
in the opinion of the attorney-in-fact, may be of benefit to, in the
best interest of or legally required of the undersigned, it being
understood that the documents executed by the attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney shall
be in the form and shall contain the terms and conditions as the
attorney-in-fact may approve in the attorney-in-fact's discretion.
The undersigned hereby grants to the attorney-in-fact full power and
authority to do and perform all and every act requisite, necessary
or proper to be done in the exercise of any of the rights and powers
granted herein, as fully to all intents and purposes as the undersigned
might or could do if personally present, with full power of substitution
or revocation, hereby ratifying and confirming all that the attorney-in-fact
shall lawfully do or cause to be done by virtue of this Power of Attorney
and the rights and powers granted herein. The undersigned acknowledges
that the attorney-in-fact, in serving in such capacity at the request
of the undersigned, are not assuming (nor is Via Renewables, Inc. assuming)
any of the undersigned's responsibilities to comply with Section 16
of the Exchange Act. The undersigned agrees that the attorney-in-fact
may rely entirely on information furnished orally or in writing by or
at the direction of the undersigned to the attorney-in-fact. The
undersigned also agrees to indemnify and hold harmless Via Renewables,
Inc. and the attorney-in-fact against any losses, claims, damages or
liabilities (or actions in these respects) that arise out of or are
based upon any untrue statements or omissions of necessary facts in
the information provided by or at the direction of the undersigned,
or upon the lack of timeliness in the delivery of information by or
at the direction of the undersigned, to the attorney-in fact for
purposes of executing, acknowledging, delivering or filing a Form ID,
Form 3, Form 4, Form 5, Form 144, Schedule 13D or Schedule 13G
(including amendments thereto) and agrees to reimburse Via Renewables,
Inc. and the attorney-in-fact on demand for any legal or other
expenses reasonably incurred in connection with investigating or
defending against any such loss, claim, damage, liability or action.
This Power of Attorney shall remain in full force and effect until
the undersigned is no longer required to file Form ID, Form 3, Form 4,
Form 5, Form 144, Schedule 13D and Schedule 13G (including amendments
thereto) with respect to the undersigned's holdings of and transactions
in securities issued by Via Renewables, Inc., unless earlier revoked by
the undersigned in a signed writing delivered to the attorney-in-fact.
This Power of Attorney does not revoke any other power of attorney
that the undersigned has previously granted.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of the date written below.
By: W. Keith Maxwell III
/s/ W. Keith Maxwell III
DATE: 5/4/22