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Nasdaq · USD

GWRS

Global Water Resources, Inc.

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Tapewire entity
234
SEC CIK
0001434728
Parsed reports
1,556

Last 12 months

Inside the activity.

10 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202610
Apr 202600
May 202670
Jun 202600
Jul 202600
Aug 202620
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 31, 2020 Filed Apr 2, 2020 00:39 UTC GrantDeferred Phantom Unit · Derivative 9 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000104 · wf-form4_158578795246574.xml · derivative · entry 2

Rousseau David · CIK 0001769282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,506

Underlying: Common Stock · 9 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:34 UTC
Krupa Heather MVice President and Controller
Exercise / conversionPhantom Stock Unit · Derivative 50 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000100 · wf-form4_158578766482542.xml · derivative · entry 5

Krupa Heather M · CIK 0001785266 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 540

Underlying: Common Stock · 50 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F5 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F5 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:34 UTC
Krupa Heather MVice President and Controller
GrantPhantom Stock Unit · Derivative 1 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000100 · wf-form4_158578766482542.xml · derivative · entry 4

Krupa Heather M · CIK 0001785266 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590

Underlying: Common Stock · 1 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F4 · derivative.exercise_date: The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.

F4 · derivative.expiration_date: The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:34 UTC
Krupa Heather MVice President and Controller
GrantPhantom Stock Unit · Derivative 589 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000100 · wf-form4_158578766482542.xml · derivative · entry 3

Krupa Heather M · CIK 0001785266 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589

Underlying: Common Stock · 589 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F3 · derivative.exercise_date: The PSUs vest ratably over 12 quarters from the grant date. The PSUs do not have a set expiration date.

F3 · derivative.expiration_date: The PSUs vest ratably over 12 quarters from the grant date. The PSUs do not have a set expiration date.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:34 UTC
Krupa Heather MVice President and Controller
Disposition to issuerCommon Stock 50 $10.11 $505.50
Disclosure

SEC source: 0001434728-20-000100 · wf-form4_158578766482542.xml · nonDerivative · entry 2

Krupa Heather M · CIK 0001785266 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200

F2 · price: 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 March 31, 2020.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:34 UTC
Krupa Heather MVice President and Controller
Exercise / conversionCommon Stock 50 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000100 · wf-form4_158578766482542.xml · nonDerivative · entry 1

Krupa Heather M · CIK 0001785266 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:27 UTC
Ellsworth JoanneVice President
Exercise / conversionPhantom Stock Unit · Derivative 116 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000094 · wf-form4_158578721739434.xml · derivative · entry 5

Ellsworth Joanne · CIK 0001709055 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 967

Underlying: Common Stock · 116 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F6 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F6 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F4 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:27 UTC
Ellsworth JoanneVice President
GrantPhantom Stock Unit · Derivative 3 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000094 · wf-form4_158578721739434.xml · derivative · entry 4

Ellsworth Joanne · CIK 0001709055 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,083

Underlying: Common Stock · 3 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F5 · derivative.exercise_date: The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.

F5 · derivative.expiration_date: The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.

F4 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:27 UTC
Ellsworth JoanneVice President
GrantPhantom Stock Unit · Derivative 570 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000094 · wf-form4_158578721739434.xml · derivative · entry 3

Ellsworth Joanne · CIK 0001709055 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,080

Underlying: Common Stock · 570 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F3 · derivative.exercise_date: The PSUs vest ratably over 12 quarters from the grant date. The PSUs do not have a set expiration date.

F3 · derivative.expiration_date: The PSUs vest ratably over 12 quarters from the grant date. The PSUs do not have a set expiration date.

F4 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:27 UTC
Ellsworth JoanneVice President
Disposition to issuerCommon Stock 116 $10.11 $1,172.76
Disclosure

SEC source: 0001434728-20-000094 · wf-form4_158578721739434.xml · nonDerivative · entry 2

Ellsworth Joanne · CIK 0001709055 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: 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 March 31, 2020.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:27 UTC
Ellsworth JoanneVice President
Exercise / conversionCommon Stock 116 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000094 · wf-form4_158578721739434.xml · nonDerivative · entry 1

Ellsworth Joanne · CIK 0001709055 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:23 UTC
Corwin Jonathan C.Vice President
Exercise / conversionPhantom Stock Unit · Derivative 228 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000092 · wf-form4_158578701243919.xml · derivative · entry 5

Corwin Jonathan C. · CIK 0001709483 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,903

Underlying: Common Stock · 228 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F6 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F6 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F4 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:23 UTC
Corwin Jonathan C.Vice President
GrantPhantom Stock Unit · Derivative 5 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000092 · wf-form4_158578701243919.xml · derivative · entry 4

Corwin Jonathan C. · CIK 0001709483 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,131

Underlying: Common Stock · 5 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F5 · derivative.exercise_date: The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.

F5 · derivative.expiration_date: The PSUs are fully vested upon grant and immediately exercisable. The PSUs do not have a set expiration date.

F4 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:23 UTC
Corwin Jonathan C.Vice President
GrantPhantom Stock Unit · Derivative 1,105 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000092 · wf-form4_158578701243919.xml · derivative · entry 3

Corwin Jonathan C. · CIK 0001709483 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,126

Underlying: Common Stock · 1,105 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F3 · derivative.exercise_date: The PSUs vest ratably over 12 quarters from the grant date. The PSUs do not have a set expiration date.

F3 · derivative.expiration_date: The PSUs vest ratably over 12 quarters from the grant date. The PSUs do not have a set expiration date.

F4 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:23 UTC
Corwin Jonathan C.Vice President
Disposition to issuerCommon Stock 228 $10.11 $2,305.08
Disclosure

SEC source: 0001434728-20-000092 · wf-form4_158578701243919.xml · nonDerivative · entry 2

Corwin Jonathan C. · CIK 0001709483 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,683

F2 · price: 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 March 31, 2020.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 00:23 UTC
Corwin Jonathan C.Vice President
Exercise / conversionCommon Stock 228 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000092 · wf-form4_158578701243919.xml · nonDerivative · entry 1

Corwin Jonathan C. · CIK 0001709483 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,911

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

Read SEC document
March 31, 2020 Filed Apr 3, 2020 00:10 UTC
COY DEBRADirector
GrantDeferred Phantom Unit · Derivative 5 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000114 · wf-form4_158587262383521.xml · derivative · entry 4

COY DEBRA · CIK 0001733776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,175

Underlying: Common Stock · 5 shares

Expires not disclosed

F2 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F3 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F3 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
March 31, 2020 Filed Apr 3, 2020 00:10 UTC
COY DEBRADirector
PurchaseCommon Stock 38.88 $10.07 $391.52
Disclosure

SEC source: 0001434728-20-000114 · wf-form4_158587262383521.xml · nonDerivative · entry 3

COY DEBRA · CIK 0001733776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,279.729

F1 · shares: Represents shares acquired through an automatic broker-administered dividend reinvestment program pursuant to a prior election made by the reporting person.

Read SEC document
March 11, 2020 Filed Apr 2, 2020 00:32 UTC GrantDeferred Phantom Unit · Derivative 671 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000098 · wf-form4_158578752555755.xml · derivative · entry 1

Huckelbridge Brett · CIK 0001742329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,913

Underlying: Common Stock · 671 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
March 11, 2020 Filed Apr 1, 2020 20:42 UTC GrantDeferred Phantom Unit · Derivative 1,038 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000106 · wf-form4_158578809485407.xml · derivative · entry 1

Tedesco David C · CIK 0001673042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,336

Underlying: Common Stock · 1,038 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
March 11, 2020 Filed Apr 2, 2020 00:39 UTC GrantDeferred Phantom Unit · Derivative 671 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000104 · wf-form4_158578795246574.xml · derivative · entry 1

Rousseau David · CIK 0001769282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,497

Underlying: Common Stock · 671 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 18:54 UTC
Fleming Ronnie LDirector · President and CEO
Exercise / conversionStock Appreciation Right · Derivative 25,000 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001434728-20-000079 · wf-form4_158403923320606.xml · derivative · entry 3

Fleming Ronnie L · CIK 0001673005 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2025-05-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The reporting person was originally granted 180,000 shares of stock appreciation rights on May 8, 2015, which vest over sixteen quarters, vesting 20% per year for the first three years, with the remainder, 40% vesting in year four.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 18:54 UTC
Fleming Ronnie LDirector · President and CEO
Disposition to issuerCommon Stock 25,000 $12.20 $305,000.00
Disclosure

SEC source: 0001434728-20-000079 · wf-form4_158403923320606.xml · nonDerivative · entry 2

Fleming Ronnie L · CIK 0001673005 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Read SEC document
March 10, 2020 Filed Mar 12, 2020 18:54 UTC
Fleming Ronnie LDirector · President and CEO
Exercise / conversionCommon Stock 25,000 $5.13 $128,250.00
Disclosure

SEC source: 0001434728-20-000079 · wf-form4_158403923320606.xml · nonDerivative · entry 1

Fleming Ronnie L · CIK 0001673005 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 18:58 UTC
Liebman Michael JCFO and Corporate Secretary
Exercise / conversionStock Appreciation Right · Derivative 17,500 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001434728-20-000081 · wf-form4_158403949520378.xml · derivative · entry 3

Liebman Michael J · CIK 0001673041 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2025-05-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The reporting person was originally granted 120,000 shares of stock appreciation rights on May 8, 2015, which vest over sixteen quarters, vesting 20% per year for the first three years, with the remainder, 40% vesting in year four.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 18:58 UTC
Liebman Michael JCFO and Corporate Secretary
Disposition to issuerCommon Stock 17,500 $12.20 $213,500.00
Disclosure

SEC source: 0001434728-20-000081 · wf-form4_158403949520378.xml · nonDerivative · entry 2

Liebman Michael J · CIK 0001673041 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Read SEC document
March 10, 2020 Filed Mar 12, 2020 18:58 UTC
Liebman Michael JCFO and Corporate Secretary
Exercise / conversionCommon Stock 17,500 $5.13 $89,775.00
Disclosure

SEC source: 0001434728-20-000081 · wf-form4_158403949520378.xml · nonDerivative · entry 1

Liebman Michael J · CIK 0001673041 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:04 UTC GrantDeferred Phantom Unit · Derivative 8 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000063 · wf-form4_158319387984732.xml · derivative · entry 1

Huckelbridge Brett · CIK 0001742329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,242

Underlying: Common Stock · 8 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 23:50 UTC GrantDeferred Phantom Unit · Derivative 31 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000053 · wf-form4_158319303337197.xml · derivative · entry 1

Alexander Richard M · CIK 0001672990 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,743

Underlying: Common Stock · 31 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:03 UTC
Fleming Ronnie LDirector · President and CEO
GrantPhantom Stock Unit · Derivative 36 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000061 · wf-form4_158319377625919.xml · derivative · entry 1

Fleming Ronnie L · CIK 0001673005 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,756

Underlying: Common Stock · 36 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F3 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:06 UTC
Liebman Michael JCFO and Corporate Secretary
GrantPhantom Stock Unit · Derivative 23 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000065 · wf-form4_158319398039335.xml · derivative · entry 1

Liebman Michael J · CIK 0001673041 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,568

Underlying: Common Stock · 23 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F3 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

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February 28, 2020 Filed Mar 2, 2020 19:12 UTC GrantDeferred Phantom Unit · Derivative 94 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000069 · wf-form4_158319434901887.xml · derivative · entry 1

Tedesco David C · CIK 0001673042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,298

Underlying: Common Stock · 94 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

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February 28, 2020 Filed Mar 3, 2020 00:15 UTC
Thuneman JasonVice President
GrantPhantom Stock Unit · Derivative 2 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000071 · wf-form4_158319448689843.xml · derivative · entry 1

Thuneman Jason · CIK 0001709124 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,035

Underlying: Common Stock · 2 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:09 UTC GrantDeferred Phantom Unit · Derivative 5 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000067 · wf-form4_158319416056825.xml · derivative · entry 1

Rousseau David · CIK 0001769282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,826

Underlying: Common Stock · 5 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:01 UTC
Ellsworth JoanneVice President
GrantPhantom Stock Unit · Derivative 1 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000059 · wf-form4_158319366976176.xml · derivative · entry 1

Ellsworth Joanne · CIK 0001709055 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510

Underlying: Common Stock · 1 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 23:54 UTC
COY DEBRADirector
GrantDeferred Phantom Unit · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000057 · wf-form4_158319324613841.xml · derivative · entry 1

COY DEBRA · CIK 0001733776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,170

Underlying: Common Stock · 4 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 23:52 UTC
Corwin Jonathan C.Vice President
GrantPhantom Stock Unit · Derivative 2 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000055 · wf-form4_158319315056485.xml · derivative · entry 1

Corwin Jonathan C. · CIK 0001709483 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,021

Underlying: Common Stock · 2 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

Read SEC document
February 28, 2020 Filed Apr 3, 2020 00:10 UTC
COY DEBRADirector
PurchaseCommon Stock 31.279 $12.49 $390.67
Disclosure

SEC source: 0001434728-20-000114 · wf-form4_158587262383521.xml · nonDerivative · entry 2

COY DEBRA · CIK 0001733776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,240.849

F1 · shares: Represents shares acquired through an automatic broker-administered dividend reinvestment program pursuant to a prior election made by the reporting person.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 23:01 UTC GrantDeferred Phantom Unit · Derivative 7 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000041 · wf-form4_158077088675964.xml · derivative · entry 1

Huckelbridge Brett · CIK 0001742329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,234

Underlying: Common Stock · 7 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 22:49 UTC GrantDeferred Phantom Unit · Derivative 32 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000030 · wf-form4_158077016459486.xml · derivative · entry 1

Alexander Richard M · CIK 0001672990 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,712

Underlying: Common Stock · 32 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 18:08 UTC GrantDeferred Phantom Unit · Derivative 95 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000047 · wf-form4_158077128647153.xml · derivative · entry 1

Tedesco David C · CIK 0001673042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,204

Underlying: Common Stock · 95 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 23:11 UTC
Thuneman JasonVice President
GrantPhantom Stock Unit · Derivative 2 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000049 · wf-form4_158077149607807.xml · derivative · entry 1

Thuneman Jason · CIK 0001709124 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,033

Underlying: Common Stock · 2 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 23:00 UTC
Fleming Ronnie LDirector · President and CEO
GrantPhantom Stock Unit · Derivative 34 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000039 · wf-form4_158077079557648.xml · derivative · entry 1

Fleming Ronnie L · CIK 0001673005 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,720

Underlying: Common Stock · 34 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F3 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 23:03 UTC
Liebman Michael JCFO and Corporate Secretary
GrantPhantom Stock Unit · Derivative 22 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000043 · wf-form4_158077099423937.xml · derivative · entry 1

Liebman Michael J · CIK 0001673041 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,545

Underlying: Common Stock · 22 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F3 · balance_after: The total includes prior grants of PSUs that have different vesting and expiration dates, as previously reported by the reporting person.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 23:06 UTC GrantDeferred Phantom Unit · Derivative 5 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000045 · wf-form4_158077114991611.xml · derivative · entry 1

Rousseau David · CIK 0001769282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,821

Underlying: Common Stock · 5 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 22:57 UTC
Ellsworth JoanneVice President
GrantPhantom Stock Unit · Derivative 1 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000037 · wf-form4_158077064144488.xml · derivative · entry 1

Ellsworth Joanne · CIK 0001709055 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509

Underlying: Common Stock · 1 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 22:55 UTC
COY DEBRADirector
GrantDeferred Phantom Unit · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000035 · wf-form4_158077053339907.xml · derivative · entry 1

COY DEBRA · CIK 0001733776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,166

Underlying: Common Stock · 4 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 22:53 UTC
Corwin Jonathan C.Vice President
GrantPhantom Stock Unit · Derivative 2 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000033 · wf-form4_158077040524417.xml · derivative · entry 1

Corwin Jonathan C. · CIK 0001709483 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,019

Underlying: Common Stock · 2 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

F2 · derivative.expiration_date: The PSUs are exercisable at time of vesting and do not have a set expiration date.

Read SEC document
January 31, 2020 Filed Apr 3, 2020 00:10 UTC
COY DEBRADirector
PurchaseCommon Stock 30.278 $12.88 $389.98
Disclosure

SEC source: 0001434728-20-000114 · wf-form4_158587262383521.xml · nonDerivative · entry 1

COY DEBRA · CIK 0001733776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,209.57

F1 · shares: Represents shares acquired through an automatic broker-administered dividend reinvestment program pursuant to a prior election made by the reporting person.

Read SEC document
December 30, 2019 Filed Jan 2, 2020 22:17 UTC GrantDeferred Phantom Unit · Derivative 8 $0.00 $0.00
Disclosure

SEC source: 0001434728-20-000012 · wf-form4_157800343071747.xml · derivative · entry 1

Huckelbridge Brett · CIK 0001742329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,227

Underlying: Common Stock · 8 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred phantom unit ("DPU") is the economic equivalent to one share of common stock of Global Water Resources, Inc. ("the Company").

F2 · derivative.exercise_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

F2 · derivative.expiration_date: The DPUs are fully vested upon grant. In addition, the DPUs are only permitted to be redeemed upon the reporting person ceasing to be a director of the Company. Redemption requirements are detailed within the DPU plans which are incorporated by reference within our latest filed 10-K.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.