SEC Form 4/A · accession 0001434728-18-000213
Global Water Resources, Inc. · GWRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ronnie L Fleming
Officer — President and CEO · Director
Period of report
Sep 28, 2018
Accepted (ET)
Oct 2, 2018 · 8:02 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 StockF1 | Sep 28, 2018 | M | 4,785 | $0.00 | A | 19,785 | D | |
| Common StockF2 | Sep 28, 2018 | D | 4,785 | $10.41 | D | 15,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF4,F1,F3 | — | Sep 28, 2018 | A | 60 | A | — | — | Common Stock | 60 | 27,020 | D |
| Phantom Stock UnitF4,F1,F5 | — | Sep 28, 2018 | M | 4,785 | A | — | — | Common Stock | 4,785 | 31,805 | 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 exercise price was determined by taking the weighted average closing share price of the Company's common stock of the five day period prior to September 28, 2018.
- F3The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.
- F4The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.
- F5The PSUs are exercisable at time of vesting and do not have a set expiration date.