SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Levine Jonathan L

(Last) (First) (Middle)
C/O GLOBAL WATER RESOURCES, INC.
21410 N 19TH AVENUE #220

(Street)
PHOENIX AZ 85027

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/06/2021
3. Issuer Name and Ticker or Trading Symbol
Global Water Resources, Inc. [ GWRS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
05/18/2021
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 9,667,920(1) I By Levine Investments Limited Partnership(2)
Common Stock 50,000(3) I By Levine Family Trust "A"(4)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. This Form 3 amendment is being filed to correct an error in the amount reported in Table I, Column 2, which overstated the reporting person's beneficial ownership held through Levine Investments Limited Partnership by 10,000 shares of common stock. The error was initially made in Table I, Column 2 of the reporting person's Form 3 filed on May 18, 2021 and affected the reported amount in the subsequent Form 4.
2. Shares are held by a limited partnership for which the reporting person serves as general partner. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
3. This Form 3 amendment is being filed to correct the omission of the holding balance owned indirectly through the Levine Family Trust "A". The error of omission was initially made on the reporting person's Form 3 filed on May 18, 2021 and affected subsequent Form 4s.
4. Shares are held by the Levine Family Trust "A" for which the reporting person serves as a trustee.
Remarks:
/s/ Suzette Prante, attorney-in-fact 01/04/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.