Initial Statement of Beneficial Ownership (3)
May 18 2021 - 6:07PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Hultberg Kelsey |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/16/2021
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3. Issuer Name and Ticker or Trading Symbol
Sunnova Energy International Inc. [NOVA]
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(Last)
(First)
(Middle)
20 EAST GREENWAY PLAZA,, SUITE 540 |
4. 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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(Street)
HOUSTON, TX 77046
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 10512 | D | |
| Common Stock | 675 | I | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Non-Qualified Stock Option (Right to Buy) | (1) | 4/2/2028 | Common Stock | 4286.0 | $13.58 | D | |
| Non-Qualified Stock Option (Right to Buy) | (2) | 9/5/2028 | Common Stock | 12858.0 | $13.58 | D | |
| Non-Qualified Stock Option (Right to Buy) | (3) | 2/25/2029 | Common Stock | 10715.0 | $13.58 | D | |
| Restricted Stock Units | (4) | (4) | Common Stock | 3710.0 | (5) | D | |
| Restricted Stock Units | (6) | (6) | Common Stock | 2376.0 | (5) | D | |
| Restricted Stock Units | (7) | (7) | Common Stock | 895.0 | (5) | D | |
| Explanation of Responses: |
| (1) | These Nonqualified Stock Options ("Options") were originally granted under the Stock Option Plan of Sunnova Energy Corporation (the "Plan") on April 2, 2018 and are fully vested. |
| (2) | These Options were originally granted under the Plan on September 5, 2018 and are fully vested. |
| (3) | These Options were originally granted under the Plan on February 25, 2019 and are fully vested. |
| (4) | The Restricted Stock Units ("RSUs") will vest in two equal annual installments beginning on March 12, 2022. Common stock of the Issuer ("Common Stock") will be delivered to the reporting person no later than 15 days after the RSUs vest. |
| (5) | Each RSU represents a contingent right to receive one share of Common Stock. |
| (6) | The RSUs will vest in three equal annual installments beginning on March 22, 2022. Common Stock will be delivered to the reporting person no later than 15 days after the RSUs vest. |
| (7) | The RSUs will vest in full on April 1, 2022. Common Stock will be delivered to the reporting person no later than 15 days after the RSUs vest. |
Remarks:
Executive Vice President, Chief of Staff |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Hultberg Kelsey
20 EAST 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 | | 5/18/2021 |
| **Signature of Reporting Person | Date |
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