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

Role
President and CEO, Director
Signature
/s/ Heather Krupa, attorney-in-fact
Issuer symbol
GWRS
Transactions as of
30 Jun 2021
Transactions value $
-$59,994
Form type
4
Filing time
02 Jul 2021, 18:15:07 UTC
Previous filing
02 Jun 2021
Next 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 $0 +1.21K +1.4% $0.00 87.7K 30 Jun 2021 Direct F1
transaction GWRS Common Stock Options Exercise $0 +2.37K +2.71% $0.00 90.1K 30 Jun 2021 Direct F2
transaction GWRS Common Stock Disposed to Issuer -$60K -3.59K -3.98% $16.73 86.5K 30 Jun 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 30 Jun 2021 Common Stock 34 Direct F1, F4, F5
transaction GWRS Restricted Stock Units Options Exercise $0 -1.21K -9.54% $0.00 11.5K 30 Jun 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 30 Jun 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.