SEC Form 4 · accession 0001144204-15-036099
Consolidated Water Co. Ltd. · CWCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brent Brodie
Officer — VP of Sales and Marketing
Period of report
Jun 4, 2015
Accepted (ET)
Jun 8, 2015 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000928340
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Jun 4, 2015 | M | 1,933 | $10.68 | A | 1,933 | D | |
| COMMON STOCK | Jun 4, 2015 | S | 1,933 | $12.571 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OPTION (RIGHT TO BUYF1 | $10.68 | Jun 5, 2015 | M | 1,933 | D | Feb 22, 2012 | Feb 21, 2017 | COMMON STOCK | 3,867 | 1,934 | D |
Explanation of responses
- F1The option vested as to 1,933 shares on each of February 22, 2012 and February 22, 2013 and as to 1,934 shares on February 22, 2014. The option expired as to 1,933 shares on February 21, 2015 and was set to expire as to 1,933 shares on February 21, 2016 and as to 1,934 shares on February 21, 2017; however, the option was exercised as to 1,933 shares prior to February 21, 2016. The exercise price of the option equals the market price of the Company's common stock as of the close of business on the date of grant.