SEC Form 4 · accession 0001144204-16-139064
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 OF LOGISTICS
Period of report
Dec 8, 2016
Accepted (ET)
Dec 12, 2016 · 9:13 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 | Dec 8, 2016 | M | 581 | $10.68 | A | 8,977 | D | |
| COMMON STOCKF1 | Dec 8, 2016 | S | 581 | $11.00 | D | 8,396 | D | |
| COMMON STOCKF1 | Dec 9, 2016 | M | 434 | $10.68 | A | 8,830 | D | |
| COMMON STOCKF1 | Dec 9, 2016 | S | 434 | $11.00 | D | 8,396 | 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 BUYF2 | $10.68 | Dec 8, 2016 | M | 581 | D | Feb 22, 2014 | Feb 21, 2017 | COMMON STOCK | 1,015 | 434 | D |
| OPTION (RIGHT TO BUYF2 | $10.68 | Dec 9, 2016 | M | 434 | D | Feb 22, 2014 | Feb 21, 2017 | COMMON STOCK | 434 | 0 | D |
Explanation of responses
- F1Includes 98 shares acquired under the Company's dividend reinvestment plan that have not previously been included in the Reporting Person's beneficial holdings.
- F2The option vested as to 1,015 shares on February 22, 2014, and if not exercised would have expired as to 1,015 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.