SEC Form 4 · accession 0001209191-16-156348
Global Water Resources, Inc. · GWRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Liebman
Officer — CFO and Corporate Secretary
Period of report
Dec 19, 2016
Accepted (ET)
Dec 21, 2016 · 4:48 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 | $2.69 | A | 31,700 | D | |
| Common Stock | Dec 19, 2016 | D | 24,500 | $8.99 | 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 | Dec 19, 2016 | M | 24,500 | D | — | Nov 13, 2023 | Common Stock | 24,500 | 50,500 | 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