Statement of Changes in Beneficial Ownership (4)
March 15 2021 - 5:08PM
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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3235-0287
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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
*
LANE ROBERT LAWRENCE |
2. Issuer Name and Ticker or Trading Symbol
Sunnova Energy International Inc.
[
NOVA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
See Remarks |
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(Last)
(First)
(Middle)
20 GREENWAY PLAZA,, SUITE 540 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/11/2021 |
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(Street)
HOUSTON, TX 77046
(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
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 3/11/2021 | | A | | 6525 (1) | A | $42.87 | 37160 | D | |
| Common Stock | 3/11/2021 | | F | | 2583 | D | $42.87 | 34577 | D | |
| Common Stock | 3/12/2021 | | M | | 7564 | A | $0 (2) | 42141 | D | |
| Common Stock | 3/12/2021 | | F | | 2799 | D | $42.51 | 39342 | D | |
| Common Stock | 3/12/2021 | | M | | 27898 | A | $0 (2) | 67240 | D | |
| Common Stock | 3/12/2021 | | F | | 10978 | D | $42.51 | 56262 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 Units | (2) | 3/12/2021 | | M | | | 7564 | (3) | (3) | Common Stock | 7564.0 | $0 | 0 | D | |
| Restricted Stock Units | (2) | 3/12/2021 | | M | | | 27898 | (4) | (4) | Common Stock | 27898.0 | $0 | 55797 | D | |
| Explanation of Responses: |
| (1) | These shares of common stock of Sunnova Energy International Inc. ("Common Stock") were awarded under the Sunnova Energy International Inc. 2019 Long-Term Incentive Plan ("Plan"). |
| (2) | Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock. |
| (3) | The RSU's were awarded under the Plan and vested in full on March 12, 2021. Common Stock will be delivered to the reporting person no later than 15 days after the RSUs vest. |
| (4) | The RSU's were awarded under the Plan and will vest in three equal annual installments beginning on March 12, 2021. Common Stock will be delivered to the reporting person no later than 15 days after the RSUs vest. |
Remarks:
Executive Vice President, Chief Financial Officer |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
LANE ROBERT LAWRENCE
20 GREENWAY PLAZA,
SUITE 540
HOUSTON, TX 77046 |
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| See Remarks |
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Signatures
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| /s/ Walter A. Baker by Power of Attorney | | 3/15/2021 |
| **Signature of Reporting Person | Date |
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