OTHER INFORMATION
+Added: Rule 10b5-1 Trading Plans
+Added: During the three months ended March 31, 2024, none of our directors or officers (as defined in Exchange Act Rule 16a-1(f)) adopted or terminated a “Rule 10b5–1 trading arrangement” or a “non-Rule 10b5–1 trading arrangement,” each as defined in Item 408 of Regulation S-K.
Number Description of Exhibit Method of Filing
3 unchanged sentences
Incorporated by reference to Exhibit 3.2 of the Company’s Form 8-K filed May 4, 2016.
−Removed: 10.1 Note Purchase Agreement, dated October 26, 2023, by and between Global Water Resources, Inc.
−Removed: and Jackson National Life Insurance Company
−Removed: Incorporated by reference to Exhibit 10.1 of the Company’s Form 8-K filed November 1, 2023.
−Removed: 10.2 Fourth Modification Agreement, dated October 26, 2023, by and between Global Water Resources, Inc.
−Removed: and The Northern Trust Company
−Removed: Incorporated by reference to Exhibit 10.2 of the Company’s Form 8-K filed November 1, 2023.
−Removed: 10.3 Amendment No.
−Removed: 2 to Security Agreements, dated October 26, 2023, between and among Global Water Resources, Inc., Global Water, LLC, West Maricopa Combine, LLC, Global Water Holdings, Inc., and U.S.
−Removed: Bank Trust Company, National Association, in its capacity as collateral agent
−Removed: Incorporated by reference to Exhibit 10.3 of the Company’s Form 8-K filed November 1, 2023.
+Added: 4.1 Form of 6.91% Senior Secured Notes due on January 3, 2034
+Added: Incorporated by reference to Exhibit 4.1 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
+Added: 10.1 Guaranty Agreement, dated as of January 3, 2024, by Global Water, LLC
+Added: Incorporated by reference to Exhibit 10.2 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
+Added: 10.2 Guaranty Agreement, dated as of January 3, 2024, by Global Water Holdings, Inc.
+Added: Incorporated by reference to Exhibit 10.3 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
+Added: 10.3 Guaranty Agreement, dated as of January 3, 2024, by West Maricopa Combine, LLC
+Added: Incorporated by reference to Exhibit 10.4 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
+Added: 10.4 Pledge and Security Agreement, dated as of January 3, 2024, by and between Global Water Resources, Inc.
+Added: Bank Trust Company, National Association, as collateral agent
+Added: Incorporated by reference to Exhibit 10.5 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
+Added: 10.5 Pledge and Security Agreement, dated as of January 3, 2024, by and between Global Water, LLC and U.S.
+Added: Bank Trust Company, National Association, as collateral agent
+Added: Incorporated by reference to Exhibit 10.6 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
+Added: 10.6 Pledge and Security Agreement, dated as of January 3, 2024, by and between Global Water Holdings, Inc.
+Added: Bank Trust Company, National Association, as collateral agent
+Added: Incorporated by reference to Exhibit 10.7 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
+Added: 10.7 Pledge and Security Agreement, dated as of January 3, 2024, by and between West Maricopa Combine, LLC and U.S.
+Added: Bank Trust Company, National Association, as collateral agent
+Added: Incorporated by reference to Exhibit 10.8 of the Company’s Current Report on Form 8-K filed with the SEC on January 4, 2024.
31.1 Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer
13 unchanged sentences
Global Water Resources, Inc.
−Removed: November 8, 2023 By:
+Added: May 8, 2024 By:
/s/ Michael J.
2 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.