Statement of Changes in Beneficial Ownership (4)
August 17 2021 - 5:57PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Liebman Michael J |
2. Issuer Name and Ticker or Trading Symbol
Global Water Resources, Inc.
[
GWRS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CFO and Corporate Secretary |
(Last)
(First)
(Middle)
C/O GLOBAL WATER RESOURCES, INC., 21410 N 19TH AVENUE #220 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/13/2021 |
(Street)
PHOENIX, AZ 85027
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 8/13/2021 | | M | | 25000 | A | $9.40 | 94243 | D | |
Common Stock | 8/13/2021 | | F | | 11503 | D | $20.43 | 82740 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Stock Option (Right to Buy) | $9.4 | 8/13/2021 | | M | | | 25000 | (2) | 8/10/2027 | Common Stock | 25000.0 | $0 | 73000 | D | |
Explanation of Responses: |
(1) | Includes 22,123 shares of restricted stock which will vest on May 8, 2022 |
(2) | The reporting person was originally granted 100,000 stock options on August 10, 2017. The option vested in four equal annual installments on August 10, 2018, August 10, 2019, August 10, 2020, and August10, 2021. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Liebman Michael J C/O GLOBAL WATER RESOURCES, INC. 21410 N 19TH AVENUE #220 PHOENIX, AZ 85027 |
|
| CFO and Corporate Secretary |
|
Signatures
|
/s/ Joanne Ellsworth, attorney-in-fact | | 8/17/2021 |
**Signature of Reporting Person | Date |
Global Water Resources (NASDAQ:GWRS)
Historical Stock Chart
From Mar 2024 to Apr 2024
Global Water Resources (NASDAQ:GWRS)
Historical Stock Chart
From Apr 2023 to Apr 2024