SEC Form 4 · accession 0001209191-16-156342
Global Water Resources, Inc. · GWRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronnie L Fleming
Officer — President and CEO · Director
Period of report
Dec 19, 2016
Accepted (ET)
Dec 21, 2016 · 4:32 pm EST
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 | Dec 19, 2016 | M | 24,500 | $1.59 | A | 34,296 | D | |
| Common Stock | Dec 19, 2016 | D | 24,500 | $8.99 | D | 9,796 | 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 | $1.59 | Dec 19, 2016 | M | 24,500 | D | — | Jun 30, 2023 | Common Stock | 24,500 | 45,000 | D |
Explanation of responses
- F1The reporting person was originally granted 92,500 of the stock appreciation rights on July 1, 2013, which vest ratably over 16 quarters from the grant date.