SEC Form 4 · accession 0001434728-18-000199
Global Water Resources, Inc. · GWRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Thuneman
Officer — Vice President
Period of report
Sep 27, 2018
Accepted (ET)
Sep 28, 2018 · 1:27 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 | Sep 27, 2018 | M | 5,000 | $4.26 | A | 9,000 | D | |
| Common Stock | Sep 27, 2018 | D | 5,000 | $10.71 | D | 4,000 | 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 | $4.26 | Sep 27, 2018 | M | 5,000 | D | — | Feb 11, 2025 | Common Stock | 5,000 | 45,000 | D |
Explanation of responses
- F1The reporting person was originally granted 50,000 shares of stock appreciation rights on February 11, 2015. The stock appreciation rights vest ratably over sixteen quarters from the grant date.