Heather M. Krupa - 12 Aug 2021 Form 4 Insider Report for Global Water Resources, Inc. (GWRS)

Role
Vice President and Controller
Signature
/s/ Heather M Krupa, attorney-in-fact
Issuer symbol
GWRS
Transactions as of
12 Aug 2021
Net transactions value
-$145,198
Form type
4
Filing time
13 Aug 2021, 18:08:28 UTC
Previous filing
03 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GWRS Common Stock Options Exercise $155,100 +16,500 +116% $9.40 30,700 12 Aug 2021 Direct
transaction GWRS Common Stock Disposed to Issuer $300,300 -16,500 -54% $18.20 14,200 12 Aug 2021 Direct
transaction GWRS Common Stock Options Exercise $56,300 +5,000 +35% $11.26 19,200 12 Aug 2021 Direct
transaction GWRS Common Stock Tax liability $56,293 -3,093 -16% $18.20 16,107 12 Aug 2021 Direct
transaction GWRS Common Stock Options Exercise $56,300 +5,000 +31% $11.26 21,107 13 Aug 2021 Direct
transaction GWRS Common Stock Tax liability $56,305 -2,756 -13% $20.43 18,351 13 Aug 2021 Direct

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 Stock Appreciation Right Options Exercise $0 -16,500 -100% $0.000000* 0 12 Aug 2021 Common Stock 16,500 $9.40 Direct F1
transaction GWRS Stock Option (Right to Buy) Disposed to Issuer $0 -5,000 -25% $0.000000 15,000 12 Aug 2021 Common Stock 5,000 $11.26 Direct F2
transaction GWRS Stock Option (Right to Buy) Disposed to Issuer $0 -5,000 -33% $0.000000 10,000 13 Aug 2021 Common Stock 5,000 $11.26 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person was originally granted 33,000 shares of stock appreciation rights on August 10, 2017. The stock appreciation rights vest over four years, 25% per year.
F2 The reporting person was originally granted 20,000 stock options on August 13, 2019. The option vests in four equal annual installments on August 13, 2020, August 13, 2021, August 13, 2022, and August 13, 2023.