Statement of Changes in Beneficial Ownership (4)
September 10 2020 - 4:25PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Redding Todd |
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) VP OF PURCHASING AND LOGISTICS |
(Last)
(First)
(Middle)
PO BOX 1114 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/15/2020 |
(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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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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
REDEEMABLE PREFERRED STOCK (1) | $0.00 | 7/15/2020 | | P | | 165 | | 7/1/2020 | 7/1/2024 | Common Stock | 165 | $12.17 | 1799 | D | |
REDEEMABLE PREFERRED STOCK (1) | $0.00 | 7/15/2020 | | A | | 165 | | 7/1/2020 | 7/1/2024 | Common Stock | 165 | $0 | 1864 | D | |
Explanation of Responses: |
(1) | These shares have been granted under the Issuer's Employee Share Incentive Plan and carry the same voting and dividend rights as the Issuer's Common Stock. Redeemable Preferred Stock vests ratably over four years and converts into Common Stock on a share for share basis on the fourth anniversary of the grant date. The "Date Exercisable" and "Expiration Date" reflect the grant date and the date on which the shares will convert into Common Stock, respectively. Redeemable Preferred Stock is only redeemable with the Issuer's agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Redding Todd PO BOX 1114 GRAND CAYMAN, E9 KY1-1102 |
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| VP OF PURCHASING AND LOGISTICS |
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Signatures
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/s/ Todd Redding | | 9/10/2020 |
**Signature of Reporting Person | Date |
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