SEC Form 4 · accession 0001144204-16-139063
Consolidated Water Co. Ltd. · CWCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Sasnett
Officer — EVP & CFO
Period of report
Dec 8, 2016
Accepted (ET)
Dec 12, 2016 · 9:11 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 STOCK | Dec 8, 2016 | M | 5,470 | $10.68 | A | 10,007 | D | |
| COMMON STOCK | Dec 8, 2016 | S | 5,470 | $11.00 | D | 4,537 | D | |
| COMMON STOCK | Dec 9, 2016 | M | 3,971 | $10.68 | A | 8,508 | D | |
| COMMON STOCK | Dec 9, 2016 | S | 3,971 | $11.00 | D | 4,537 | 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 | Dec 8, 2016 | M | 5,470 | D | Feb 22, 2014 | Feb 21, 2017 | COMMON STOCK | 9,441 | 3,971 | D |
| OPTION (RIGHT TO BUYF1 | $10.68 | Dec 9, 2016 | M | 3,971 | D | Feb 22, 2014 | Feb 21, 2017 | COMMON STOCK | 3,971 | 0 | D |
Explanation of responses
- F1The option vested as to 9,441 shares on February 22, 2014, and if not exercised would have expired as to 9,441 shares at the end of the day on 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.