Statement of Changes in Beneficial Ownership (4)
June 09 2015 - 3:09PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
TONNER JOHN
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2. Issuer Name
and
Ticker or Trading Symbol
CONSOLIDATED WATER CO LTD
[
CWCO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CHIEF OPERATING OFFICER
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(Last)
(First)
(Middle)
PO BOX 1114
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/5/2015
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(Street)
GRAND CAYMAN, E9 KY1-1102
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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COMMON STOCK
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6/5/2015
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M
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3000
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A
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$9.11
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8200
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D
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COMMON STOCK
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6/5/2015
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S
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3000
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D
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$12.5566
(1)
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5200
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D
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COMMON STOCK
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6/8/2015
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M
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1400
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A
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$9.11
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6600
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D
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COMMON STOCK
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6/8/2015
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S
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1400
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D
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$12.7404
(2)
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5200
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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OPTION (RIGHT TO BUY
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$9.11
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6/5/2015
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M
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3000
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7/15/2012
(3)
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7/14/2017
(3)
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COMMON STOCK
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18000
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$0
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15000
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D
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OPTION (RIGHT TO BUY
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$9.11
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6/8/2015
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M
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1400
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7/15/2012
(3)
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7/14/2017
(3)
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COMMON STOCK
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15000
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$0
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13600
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D
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Explanation of Responses:
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(
1)
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This transaction was executed in multiple trades at prices ranging from $12.49 to $12.65. 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.
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(
2)
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This transaction was executed in multiple trades at prices ranging from $12.74 to $12.75. 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.
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(
3)
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The option vested as to 6,000 shares on each of July 15, 2012, July 15, 2013 and July 15, 2014. The option was set to expire as to 6,000 shares on each of July 14, 2015, July 14, 2016 and July 14, 2017; however, the option was exercised on June 5, 2015 as to 3,000 shares as to which the option would have expired on July 14, 2015 and on June 8, 2015 as to 1,400 shares as to which the option would have expired on July 14, 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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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TONNER JOHN
PO BOX 1114
GRAND CAYMAN, E9 KY1-1102
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CHIEF OPERATING OFFICER
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Signatures
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/s/ John Tonner
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6/9/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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