SEC Form 4 · accession 0001434728-18-000101
Global Water Resources, Inc. · GWRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William S Levine
Director · 10% Owner
Period of report
May 29, 2018
Accepted (ET)
May 31, 2018 · 3:48 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 29, 2018 | M | 25,000 | $7.50 | A | 50,000 | I | By self as Trustee for Levine Family Trust "A" |
| Common StockF1 | holding | — | — | — | 9,677,920 | I | By Levine Investments Limited Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $7.50 | May 29, 2018 | M | 25,000 | D | — | May 20, 2019 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Shares are held by a limited partnership for which the reporting person serves as general partner. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- F2The option vested in two equal annual installments on May 20, 2017 and May 20, 2018.