Via Renewables, Inc. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 2 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-07-31: Reporting owner Maxwell W Keith III | TxEx Energy Investments, LLC | Retailco Acquisition Co, LLC; Form 5; Security Convertible Subordinated Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-07-08: Reporting owner Maxwell W Keith III | TxEx Energy Investments, LLC | Retailco Acquisition Co, LLC; Form 5; Security Convertible Subordinated Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-07-31 | Maxwell W Keith III | TxEx Energy Investments, LLC | Retailco Acquisition Co, LLC Director, 10% Owner | 10% Owner | Other (Affiliate) | 5 | Convertible Subordinated Promissory Note Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +1 1 owned after | no price filed | 2016-02-10 | |
| 2015-07-08 | Maxwell W Keith III | TxEx Energy Investments, LLC | Retailco Acquisition Co, LLC Director, 10% Owner | 10% Owner | Other (Affiliate) | 5 | Convertible Subordinated Promissory Note Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +1 1 owned after | no price filed | 2016-02-10 |