Item 5. Other Information
ITEM 5. OTHER INFORMATION
None.
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ITEM 6. EXHIBITS
Exhibit
Number Description of Exhibit Method of Filing
3.1 Second Amended and Restated Certificate of Incorporation of Global Water Resources, Inc.
Incorporated by reference to Exhibit 3.1 of the Company’s Form 8-K filed May 4, 2016.
3.2 Amended and Restated Bylaws of Global Water Resources, Inc.
Incorporated by reference to Exhibit 3.2 of the Company’s Form 8-K filed May 4, 2016.
10.1 Employment Agreement with Ron L. Fleming, dated May 4, 2021*
Incorporated by reference to Exhibit 10.2 of the Company’s Quarterly Report on Form 10-Q filed May 6, 2021.
10.2 Employment Agreement with Michael J. Liebman, dated May 4, 2021*
Incorporated by reference to Exhibit 10.3 of the Company’s Quarterly Report on Form 10-Q filed May 6, 2021.
10.3 Employment Agreement with Christopher D. Krygier, dated May 4, 2021*
Incorporated by reference to Exhibit 10.4 of the Company’s Quarterly Report on Form 10-Q filed May 6, 2021.
10.4 Modification Agreement dated April 30, 2021, by and between Global Water Resources, Inc. and The Northern Trust Company
Incorporated by reference to Exhibit 10.5 of the Company’s Quarterly Report on Form 10-Q filed May 6, 2021.
10.5 Guaranty Agreement, dated as of April 30, 2021, by Global Water Holdings, Inc .
Incorporated by reference to Exhibit 10.6 of the Company’s Quarterly Report on Form 10-Q filed May 6, 2021.
10.6 Pledge and Security Agreement, dated as of April 30, 2021, by and between Global Water Holdings, Inc. and The Northern Trust Company
Incorporated by reference to Exhibit 10.7 of the Company’s Quarterly Report on Form 10-Q filed May 6, 2021.
31.1 Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer
Filed herewith.
31.2 Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer
Filed herewith.
32.1 Section 1350 Certification of Chief Executive Officer and Chief Financial Officer
Furnished herewith.
101.INS Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document Filed herewith.
101.SCH Inline XBRL Taxonomy Extension Schema Document Filed herewith.
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document Filed herewith.
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document Filed herewith.
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document Filed herewith.
101. PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document Filed herewith.
104 Cover Page Interactive Data File (formatted as Inline XBRL with applicable taxonomy extension information contained in Exhibits 101) Filed herewith.
* Management contract or compensatory plan or arrangement.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Global Water Resources, Inc.
Date: August 5, 2021 By: /s/ Michael J. Liebman
Michael J. Liebman
Chief Financial Officer and Corporate Secretary
(Duly Authorized Officer and Principal Financial and Accounting Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.