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

Role
President and CEO, Director
Signature
/s/ Shelley Kitts, attorney-in-fact
Issuer symbol
GWRS
Transactions as of
30 Sep 2021
Transactions value $
-$66,611
Form type
4
Filing time
04 Oct 2021, 18:21:14 UTC
Previous filing
02 Sep 2021
Next filing
01 Nov 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 +1.19K +1.24% $0.00 97K 30 Sep 2021 Direct F1
transaction GWRS Common Stock Options Exercise $0 +2.37K +2.45% $0.00 99.4K 30 Sep 2021 Direct F2
transaction GWRS Common Stock Disposed to Issuer -$66.6K -3.56K -3.59% $18.69 95.8K 30 Sep 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 +25 +0.22% $0.00 11.6K 30 Sep 2021 Common Stock 25 Direct F1, F4, F5
transaction GWRS Restricted Stock Units Options Exercise $0 -1.19K -10.29% $0.00 10.4K 30 Sep 2021 Common Stock 1.19K Direct F1, F5, F6
transaction GWRS Phantom Stock Unit Options Exercise $0 -2.37K -28.7% $0.00 5.9K 30 Sep 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 September 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.