SEC Form 4 · accession 0001434728-17-000011
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
May 24, 2017
Accepted (ET)
May 26, 2017 · 3:41 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 | $1.59 | A | 34,796 | D | |
| Common Stock | May 24, 2017 | D | 25,000 | $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 | May 24, 2017 | M | 25,000 | D | — | Jun 30, 2023 | Common Stock | 25,000 | 20,000 | 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.