SEC Form 4 · accession 0001209191-17-029314
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
Apr 28, 2017
Accepted (ET)
May 2, 2017 · 5:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001434728
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF3,F1,F2 | — | Apr 28, 2017 | A | 73 | A | — | — | Common Stock | 73 | 29,572 | D |
Explanation of responses
- F1Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").
- F2The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.
- F3The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.