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

Aug 14, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Global Water Resources, Inc. (GWRS)
CIK: 0001434728
Period of Report: 2021-08-12

Reporting Person: Krupa Heather M (Vice President and Controller)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-12	Common Stock	M	16500	$9.40	Acquired	30700	Direct
2021-08-12	Common Stock	D	16500	$18.20	Disposed	14200	Direct
2021-08-12	Common Stock	M	5000	$11.26	Acquired	19200	Direct
2021-08-12	Common Stock	F	3093	$18.20	Disposed	16107	Direct
2021-08-13	Common Stock	M	5000	$11.26	Acquired	21107	Direct
2021-08-13	Common Stock	F	2756	$20.43	Disposed	18351	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-12	Stock Appreciation Right	$9.4	M	16500	Disposed	2027-08-10	Common Stock (16500.0)	Direct
2021-08-12	Stock Option (Right to Buy)	$11.26	D	5000	Disposed	2029-08-13	Common Stock (5000.0)	Direct
2021-08-13	Stock Option (Right to Buy)	$11.26	D	5000	Disposed	2029-08-13	Common Stock (5000.0)	Direct

Footnotes

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.