Global Water Resources, Inc. — Director's Dealing 2021

Aug 17, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Global Water Resources, Inc. (GWRS)
CIK: 0001434728
Period of Report: 2021-08-13

Reporting Person: Lenderking John Carroll (SVP, Water Resources)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-13	Common Stock	M	16500	$8.99	Acquired	30000	Direct
2021-08-13	Common Stock	D	16500	$20.43	Disposed	13500	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-13	Stock Appreciation Right	$8.99	M	16500	Disposed	2027-08-10	Common Stock (16500.0)	Direct

Footnotes

F1: Shares represent restricted stock previously awarded of which 33% of the restricted stock will vest on May 8, 2022, 33% will vest on May 8, 2023, and 34% will vest on May 8, 2024.

F2: The reporting person was originally granted 33,000 shares of stock appreciation rights on March 12, 2018. The stock appreciation rights vest over four years, 25% per year.