Ronnie L. Fleming - Jun 30, 2021 Form 4 Insider Report for Global Water Resources, Inc. (GWRS)

Role
President and CEO, Director
Signature
/s/ Heather Krupa, attorney-in-fact
Stock symbol
GWRS
Transactions as of
Jun 30, 2021
Transactions value $
-$59,994
Form type
4
Date filed
7/2/2021, 06:15 PM
Previous filing
Jun 2, 2021
Next filing
Aug 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GWRS Common Stock Options Exercise $0 +1.21K +1.4% $0.00 87.7K Jun 30, 2021 Direct F1
transaction GWRS Common Stock Options Exercise $0 +2.37K +2.71% $0.00 90.1K Jun 30, 2021 Direct F2
transaction GWRS Common Stock Disposed to Issuer -$60K -3.59K -3.98% $16.73 86.5K Jun 30, 2021 Direct F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GWRS Restricted Stock Units Award $0 +34 +0.27% $0.00 12.7K Jun 30, 2021 Common Stock 34 Direct F1, F4, F5
transaction GWRS Restricted Stock Units Options Exercise $0 -1.21K -9.54% $0.00 11.5K Jun 30, 2021 Common Stock 1.21K Direct F1, F5, F6
transaction GWRS Phantom Stock Unit Options Exercise $0 -2.37K -22.3% $0.00 8.27K Jun 30, 2021 Common Stock 2.37K Direct F2, F5, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit ("RSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").
F2 Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").
F3 The exercise price was determined by taking the weighted average closing share price of the Company's common stock of the five day period prior to June 30, 2021.
F4 The RSUs are fully vested upon grant and immediately exercisable. The RSUs do not have a set expiration date.
F5 The total includes prior grants that have different vesting and expiration dates, as previously reported by the reporting person.
F6 The RSUs are exercisable at time of vesting and do not have a set expiration date.
F7 The PSUs are exercisable at time of vesting and do not have a set expiration date.