SEC Form 4 · accession 0001214659-16-010330
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 14, 2016
Accepted (ET)
Mar 15, 2016 · 8:43 pm EDT
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 15, 2016 | M | 4,901 | $25.89 | A | 32,975 | D | |
| Common StockF2 | Mar 15, 2016 | F | 1,841 | $25.89 | D | 31,134 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights | $25.89 | Mar 14, 2016 | M | 7,500 | D | Mar 4, 2012 | Mar 4, 2018 | Common Stock | 2,054 | 39,074 | D |
| Stock Appreciation Rights | $25.89 | Mar 14, 2016 | M | 11,000 | D | Mar 3, 2013 | Mar 3, 2019 | Common Stock | 2,847 | 28,074 | D |
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 exercise of the Stock Appreciation Rights - option numbers 116 and 162.
- F2SARs grant # 116 expires, 3/4/2018; SARs grant # 162 expires, 3/3/2019