SEC Form 4 · accession 0001434728-17-000009
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
May 24, 2017
Accepted (ET)
May 26, 2017 · 3:38 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 | May 24, 2017 | M | 25,000 | $2.69 | A | 32,200 | D | |
| Common Stock | May 24, 2017 | D | 25,000 | $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 | May 24, 2017 | M | 25,000 | D | — | Nov 13, 2023 | Common Stock | 25,000 | 25,500 | D |
Explanation of responses
- F1The reporting person was originally granted 100,000 of the stock appreciation rights on November 14, 2013, which best ratably over 16 quarters from the grant date.
Remarks
Chief Financial Officer and Corporate Secretary