Statement of Changes in Beneficial Ownership (4)
February 04 2020 - 5:33PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jones Christopher Murrel |
2. Issuer Name and Ticker or Trading Symbol
WESTWATER RESOURCES, INC.
[
WWR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President and CEO |
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(Last)
(First)
(Middle)
C/O WESTWATER RESOURCES, INC., 6950 S. POTOMAC STREET, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/31/2020 |
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(Street)
CENTENNIAL, CO 80112
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 1/31/2020 | | M | | 275 | A | (1) | 1058 (2) | D |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (1) | 1/31/2020 | | M | | | 275 | (3) | (3) | Common Stock | 275 | $0 | 0 | D |
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| Explanation of Responses: |
| (1) | Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock following vesting of the restricted stock units. |
| (2) | All share amounts have been restated to reflect the 1-for-50 reverse stock split that became effective April 22, 2019. |
| (3) | On September 18, 2017, Mr. Jones was granted 2,475 restricted stock units that vest based on the following criteria: (1) one third vest in three equal installments on each of December 31, 2017, 2018 and 2019; and (ii) the remaining two-thirds vest based on satisfaction of performance and total shareholder return measures for each of 2017, 2018 and 2019 as determined by the issuer's board of directors. Shares are delivered to the reporting person following vesting. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Jones Christopher Murrel
C/O WESTWATER RESOURCES, INC.
6950 S. POTOMAC STREET, SUITE 300
CENTENNIAL, CO 80112 | X |
| President and CEO |
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Signatures
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| /s/ Christopher M. Jones | | 2/4/2020 |
| **Signature of Reporting Person | Date |
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