SEC Form 4 · accession 0001144204-15-068611
Consolidated Water Co. Ltd. · CWCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert B. Morrison
Officer — VP of Procurement & Logistics
Period of report
Nov 30, 2015
Accepted (ET)
Nov 30, 2015 · 5:15 pm EST
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 STOCKF1 | Nov 30, 2015 | M | 1,015 | $10.68 | A | 8,780 | D | |
| COMMON STOCKF2,F1 | Nov 30, 2015 | S | 1,015 | $12.3633 | D | 7,765 | 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 BUYF3 | $10.68 | Nov 30, 2015 | M | 1,015 | D | Feb 22, 2013 | Feb 21, 2017 | COMMON STOCK | 2,030 | 1,015 | D |
Explanation of responses
- F1Includes 145 shares acquired under the Company's dividend reinvestment plan that have not previously been included in the Reporting Person's beneficial holdings.
- F2This transaction was executed in multiple trades at prices ranging from $12.36 to $12.3705. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3The option vested as to 1,015 shares on each of February 22, 2013 and February 22, 2014, and if not exercised would have expired as to 1,015 shares at the end of the day on each of February 21, 2016 and February 21, 2017. 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.