SEC Form 4 · accession 0000899243-16-024147
Global Water Resources, Inc. · GWRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Liebman
Officer — See Remarks
Period of report
Jun 28, 2016
Accepted (ET)
Jul 1, 2016 · 8:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001434728
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 28, 2016 | M | 25,000 | $2.69 | A | 32,200 | D | |
| Common Stock | Jun 28, 2016 | D | 25,000 | $8.16 | D | 7,200 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF1 | $2.69 | Jun 28, 2016 | M | 25,000 | D | — | Nov 13, 2023 | Common Stock | 25,000 | 75,000 | D |
Explanation of responses
- F1The reporting person was originally granted 100,000 of the stock appreciation rights on November 14, 2013, which vest ratably over 16 quarters from the grant date.
Remarks
Chief Financial Officer and Corporate Secretary