0001606268-21-000111.txt : 20211110 0001606268-21-000111.hdr.sgml : 20211110 20211110151049 ACCESSION NUMBER: 0001606268-21-000111 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210518 FILED AS OF DATE: 20211110 DATE AS OF CHANGE: 20211110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clay Barbara CENTRAL INDEX KEY: 0001824354 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36559 FILM NUMBER: 211396185 MAIL ADDRESS: STREET 1: C/O GOOD COUNSEL SERVICES, LLC STREET 2: 111 FARMS ROAD CITY: STAMFORD STATE: CT ZIP: 06903 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/A 1 wf-form4a_163657503335242.xml FORM 4/A X0306 4/A 2021-05-18 2021-05-20 0 0001606268 Via Renewables, Inc. VIA 0001824354 Clay Barbara C/O GOOD COUNSEL GROUP, LLC 111 FARMS ROAD STAMFORD CT 06903 0 1 0 0 Acting General Counsel and Sec Class A Common Stock 2021-05-18 4 M 0 14261 0 A 14261 D Class A Common Stock 2021-05-18 4 D 0 6274 10.70 D 7987 D Restricted Stock Unit 2021-05-18 4 M 0 14261 0 D Class A Common Stock 14261.0 14261 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 14,261 restricted stock units (the "Restricted Stock Units") on May 18, 2021. Of the 14,261 Restricted Stock Units, 7,987 Restricted Stock Units were settled in shares of Class A Common Stock and 6,274 Restricted Stock Units were cash settled based on the closing price on the date of vesting. This amendment is being filed to update the shares reported in column 4, which were inadvertently misstated on the original Form 4. The correct number of shares that we settled in cash is 6,274 shares. 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. The Restricted Stock Units were scheduled to vest 50% on May 18, 2021 and 50% on May 18, 2022. See Footnote 2 for correction. Barbara Clay, by Dominique Colvard, Attorney-in-Fact 2021-11-10