0001434728-21-000109.txt : 20210402 0001434728-21-000109.hdr.sgml : 20210402 20210402194954 ACCESSION NUMBER: 0001434728-21-000109 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210402 DATE AS OF CHANGE: 20210402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Krupa Heather M CENTRAL INDEX KEY: 0001785266 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37756 FILM NUMBER: 21803456 MAIL ADDRESS: STREET 1: C/O GLOBAL WATER RESOURCES, INC., STREET 2: 21410 N. 19TH AVENUE, SUITE 220 CITY: PHOENIX STATE: AZ ZIP: 85027 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Global Water Resources, Inc. CENTRAL INDEX KEY: 0001434728 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 900632193 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21410 N. 19TH AVENUE STREET 2: SUITE 220 CITY: PHOENIX STATE: AZ ZIP: 85027 BUSINESS PHONE: 480-999-3461 MAIL ADDRESS: STREET 1: 21410 N. 19TH AVENUE STREET 2: SUITE 220 CITY: PHOENIX STATE: AZ ZIP: 85027 4 1 wf-form4_161740732538296.xml FORM 4 X0306 4 2021-03-31 0 0001434728 Global Water Resources, Inc. GWRS 0001785266 Krupa Heather M C/O GLOBAL WATER RESOURCES, INC. 21410 NORTH 19TH AVENUE, SUITE 220 PHOENIX AZ 85027 0 1 0 0 Vice President and Controller Common Stock 2021-03-31 4 M 0 57 0 A 257 D Common Stock 2021-03-31 4 M 0 50 0 A 307 D Common Stock 2021-03-31 4 D 0 107 16.67 D 200 D Restricted Stock Units 2021-03-31 4 A 0 630 0 A Common Stock 630.0 640 D Restricted Stock Units 2021-03-31 4 A 0 3 0 A Common Stock 3.0 643 D Restricted Stock Units 2021-03-31 4 M 0 57 0 D Common Stock 57.0 586 D Phantom Stock Unit 2021-03-31 4 M 0 50 0 D Common Stock 50.0 335 D Each restricted stock unit ("RSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company"). Each phantom stock unit ("PSU") is the economic equivalent of one share of common stock of Global Water Resources, Inc. ("the Company"). 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, 2021. The RSUs vest ratably over 12 quarters from the grant date. The RSUs do not have a set expiration date. Following the effective date of the 2020 Omnibus Incentive Plan, officers receive RSUs instead of PSUs. Accordingly, the reported numbers of RSUs and PSUs have been updated (and corrected from previous filings) to reflect the adoption of the 2020 Omnibus Incentive Plan. The total includes prior grants that have different vesting and expiration dates, as previously reported by the reporting person. The RSUs are fully vested upon grant and immediately exercisable. The RSUs do not have a set expiration date. The RSUs are exercisable at time of vesting and do not have a set expiration date. The PSUs are exercisable at time of vesting and do not have a set expiration date. /s/ Heather M Krupa, attorney-in-fact 2021-04-02