Form 4 - Statement of changes in beneficial ownership of securities
March 05 2024 - 6:58PM
Edgar (US Regulatory)
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
|
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
| 9651 KATY FREEWAY |
| SUITE 400 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Aris Water Solutions, Inc.
[ ARIS ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
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Chief Commercial Officer |
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3. Date of Earliest Transaction
(Month/Day/Year)
03/01/2024
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
| Class A Common Stock |
03/01/2024 |
|
A |
|
31,780
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A |
$0
|
59,949 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
| Remarks: |
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/s/ Robert W. Hunt, Jr., as Attorney-in-Fact |
03/05/2024 |
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** 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
4
(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. |
Exhibit 24.1
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and appoints Amanda M.
Brock, Stephan E. Tompsett and Robert W. Hunt, Jr., and any of their substitutes, signing singly, as the undersigned’s true and lawful attorney-in-fact (each of such persons and their substitutes being referred to
herein as the “Attorney-in-Fact”) with full power to act for the undersigned and in the undersigned’s name, place and stead, in any and all capacities, to:
1.
prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form
ID, including amendments thereto, and any other documents necessary or appropriate to obtain or update codes, passwords, and passphrases enabling the undersigned to make electronic filings with the SEC of reports required or considered by the
Attorney-in-Fact to be advisable under the Securities Exchange Act of 1934 (the “Exchange Act”) or any rule or regulation of the SEC;
2.
prepare, execute and submit for and on behalf of the undersigned any and all reports (including any amendments thereto) the undersigned is required to file
with the SEC, or which the Attorney-in-Fact considers it advisable to file with the SEC, under Section 16 of the Exchange Act or any rule or regulation thereunder, with respect to the any security of Aris Water Solutions, Inc. (the “Company”),
including Forms 3, 4 and 5 in accordance with Section 16(a) of the Exchange Act and the rules thereunder;
3.
do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such reports, complete
and execute any amendment or amendments thereto, and timely file such reports with the SEC and any securities exchange or similar authority, including but not limited to obtaining, as the undersigned’s representative and on the undersigned’s
behalf, information regarding transactions in the Company’s equity securities from any third party, including the Company and any brokers, dealers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such
third party to release any such information to the Attorney-in-Fact; and
4.
take any other action of any type whatsoever in connection with the foregoing which, in the opinion of the Attorney-in-Fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood that the documents executed by the Attorney-in-Fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms
and conditions as the Attorney-in-Fact may approve in the Attorney-in-Fact’s discretion.
The undersigned hereby grants to the Attorney-in-Fact full power and
authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do
if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that the Attorney-in-Fact, or the Attorney-in-Fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power
of Attorney and the rights and powers herein granted. The undersigned also ratifies hereby any action previously taken by the Attorney-in-Fact that would have been authorized by this Power of Attorney if it has been in effect at the time such action was taken. The undersigned acknowledges that the Attorney-in-Fact, in serving in such capacity at the request of the undersigned, is not
assuming, nor is the Company assuming, (i) any of the undersigned’s responsibilities to comply with Section 16 of the Exchange Act and (ii) any liability of the undersigned for any failure to comply with such requirements and any liability of the
undersigned for disgorgement of profits under Section 16(b) of the Exchange Act. The undersigned acknowledges that this Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under
Section 16 of the Exchange Act, including, without limitation, the reporting requirements under Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
earliest to occur of (a) undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered
to the Attorneys-in-Fact or (c) as to any Attorney-in-Fact individually, until such Attorney-in-Fact is no longer employed by the Company or its subsidiaries. This Power of Attorney revokes all previous
powers of attorney with respect to the subject matter of this Power of Attorney.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of March 1, 2024.
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/s/ Nicholas A. Patterson
|
|
|
Nicholas A. Patterson
|
Exhibit 24.1
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and appoints Amanda M.
Brock, Stephan E. Tompsett and Robert W. Hunt, Jr., and any of their substitutes, signing singly, as the undersigned’s true and lawful attorney-in-fact (each of such persons and their substitutes being referred to
herein as the “Attorney-in-Fact”) with full power to act for the undersigned and in the undersigned’s name, place and stead, in any and all capacities, to:
1.
prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form
ID, including amendments thereto, and any other documents necessary or appropriate to obtain or update codes, passwords, and passphrases enabling the undersigned to make electronic filings with the SEC of reports required or considered by the
Attorney-in-Fact to be advisable under the Securities Exchange Act of 1934 (the “Exchange Act”) or any rule or regulation of the SEC;
2.
prepare, execute and submit for and on behalf of the undersigned any and all reports (including any amendments thereto) the undersigned is required to file
with the SEC, or which the Attorney-in-Fact considers it advisable to file with the SEC, under Section 16 of the Exchange Act or any rule or regulation thereunder, with respect to the any security of Aris Water Solutions, Inc. (the “Company”),
including Forms 3, 4 and 5 in accordance with Section 16(a) of the Exchange Act and the rules thereunder;
3.
do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such reports, complete
and execute any amendment or amendments thereto, and timely file such reports with the SEC and any securities exchange or similar authority, including but not limited to obtaining, as the undersigned’s representative and on the undersigned’s
behalf, information regarding transactions in the Company’s equity securities from any third party, including the Company and any brokers, dealers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such
third party to release any such information to the Attorney-in-Fact; and
4.
take any other action of any type whatsoever in connection with the foregoing which, in the opinion of the Attorney-in-Fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood that the documents executed by the Attorney-in-Fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms
and conditions as the Attorney-in-Fact may approve in the Attorney-in-Fact’s discretion.
The undersigned hereby grants to the Attorney-in-Fact full power and
authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do
if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that the Attorney-in-Fact, or the Attorney-in-Fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power
of Attorney and the rights and powers herein granted. The undersigned also ratifies hereby any action previously taken by the Attorney-in-Fact that would have been authorized by this Power of Attorney if it has been in effect at the time such action was taken. The undersigned acknowledges that the Attorney-in-Fact, in serving in such capacity at the request of the undersigned, is not
assuming, nor is the Company assuming, (i) any of the undersigned’s responsibilities to comply with Section 16 of the Exchange Act and (ii) any liability of the undersigned for any failure to comply with such requirements and any liability of the
undersigned for disgorgement of profits under Section 16(b) of the Exchange Act. The undersigned acknowledges that this Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under
Section 16 of the Exchange Act, including, without limitation, the reporting requirements under Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
earliest to occur of (a) undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered
to the Attorneys-in-Fact or (c) as to any Attorney-in-Fact individually, until such Attorney-in-Fact is no longer employed by the Company or its subsidiaries. This Power of Attorney revokes all previous
powers of attorney with respect to the subject matter of this Power of Attorney.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of March 1, 2024.
|
/s/ Nicholas A. Patterson
|
|
|
Nicholas A. Patterson
|
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