SEC Form 4 · accession 0001214659-16-010125
CALIFORNIA WATER SERVICE GROUP · CWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas F Smegal III
Officer — VP, CFO & Treasurer
Period of report
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 8:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001035201
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 3, 2016 | F | 349 | $26.15 | D | 44,369 | D | |
| Common StockF2 | Mar 4, 2016 | F | 26 | $26.25 | D | 44,343 | D | |
| Common StockF3 | Mar 5, 2016 | F | 30 | $26.25 | D | 44,313 | D | |
| Common StockF4 | Mar 6, 2016 | F | 37 | $26.25 | D | 44,276 | D | |
| Common StockF5 | Mar 7, 2016 | A | 3,681 | $0.00 | A | 47,957 | D | |
| Common StockF6 | Mar 7, 2016 | F | 1,383 | $26.05 | D | 46,574 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the number of shares withheld by and surrendered to the Issuer to satisfy the tax withholding obligations that arose in connection with the vesting of the Restricted Stock Award (RSA) Award #342.
- F2Represents the number of shares withheld by and surrendered to the Issuer to satisfy the tax withholding obligations that arose in connection with the vesting of the Restricted Stock Award (RSA) Award #284.
- F3Represents the number of shares withheld by and surrendered to the Issuer to satisfy the tax withholding obligations that arose in connection with the vesting of the Restricted Stock Award (RSA) Award #269.
- F4Represents the number of shares withheld by and surrendered to the Issuer to satisfy the tax withholding obligations that arose in connection with the vesting of the Restricted Stock Award (RSA) Award #239.
- F5On 3/5/2013, the reporting person was granted a Restricted Stock Unit (RSU) of 3,001 shares of common stock. The RSU vested in full based on satisfaction of certain performance criteria approved by the Board of Directors. The performance criteria was met resulting in 123% payout of the original goal on 3/6/2016.
- F6Represents the number of shares withheld by and surrendered to the Issuer to satisfy the tax withholding obligations that arose in connection with the vesting of the Restricted Stock Unit (RSU) Award #308.