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

Reporting relationship: Vice President and Controller
Issuer ticker: GWRS
Reported as of: 12 Aug 2021
Net transaction value: -$145,198
SEC form: 4
Accepted by SEC: 13 Aug 2021, 18:08:28 UTC
Prior SEC filing: 03 Aug 2021
Source filing: View source filing
Reporting owner signature: /s/ Heather M Krupa, attorney-in-fact

Key filing fact

Heather M. Krupa filed Form 4 for Global Water Resources, Inc. (GWRS) on 13 Aug 2021.

Key facts

This page summarizes Heather M. Krupa's Form 4 filing for Global Water Resources, Inc. (GWRS).
9 reported transactions and 3 derivative rows are listed below.
Accepted by SEC: 13 Aug 2021, 18:08.

Change

Previous filing in this sequence was filed on 03 Aug 2021.
Current net transaction value: -$145,198.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

GWRS transaction

Common Stock

Options Exercise

Transaction value: $155,100
Shares: +16,500
Change %: +116%
Price: $9.40
Shares after: 30,700
Date: 12 Aug 2021
Ownership: Direct

GWRS transaction

Common Stock

Disposed to Issuer

Transaction value: $300,300
Shares: -16,500
Change %: -54%
Price: $18.20
Shares after: 14,200
Date: 12 Aug 2021
Ownership: Direct

GWRS transaction

Common Stock

Options Exercise

Transaction value: $56,300
Shares: +5,000
Change %: +35%
Price: $11.26
Shares after: 19,200
Date: 12 Aug 2021
Ownership: Direct

GWRS transaction

Common Stock

Tax liability

Transaction value: $56,293
Shares: -3,093
Change %: -16%
Price: $18.20
Shares after: 16,107
Date: 12 Aug 2021
Ownership: Direct

GWRS transaction

Common Stock

Options Exercise

Transaction value: $56,300
Shares: +5,000
Change %: +31%
Price: $11.26
Shares after: 21,107
Date: 13 Aug 2021
Ownership: Direct

GWRS transaction

Common Stock

Tax liability

Transaction value: $56,305
Shares: -2,756
Change %: -13%
Price: $20.43
Shares after: 18,351
Date: 13 Aug 2021
Ownership: Direct

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

GWRS transaction Derivative

Stock Appreciation Right

Options Exercise

Transaction value: $0
Shares: -16,500
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 12 Aug 2021
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 16,500
Exercise price: $9.40
Footnotes: F1

GWRS transaction Derivative

Stock Option (Right to Buy)

Disposed to Issuer

Transaction value: $0
Shares: -5,000
Change %: -25%
Price: $0.000000
Shares after: 15,000
Date: 12 Aug 2021
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 5,000
Exercise price: $11.26
Footnotes: F2

GWRS transaction Derivative

Stock Option (Right to Buy)

Disposed to Issuer

Transaction value: $0
Shares: -5,000
Change %: -33%
Price: $0.000000
Shares after: 10,000
Date: 13 Aug 2021
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 5,000
Exercise price: $11.26
Footnotes: F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote 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.

Footnote 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.