SEC Form 4 · accession 0001214659-19-001775
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
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 9:00 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 | Feb 28, 2019 | F | 96 | $52.02 | D | 35,843 | D | |
| Common StockF2 | Mar 1, 2019 | F | 135 | $52.53 | D | 35,708 | D | |
| common StockF3 | Mar 1, 2019 | A | 4,345 | $0.00 | A | 40,053 | D | |
| Common StockF4 | Mar 1, 2019 | F | 2,067 | $52.53 | D | 37,986 | 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 (RSA) Award #403.
- 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 (RSA) Award #366.
- F3On 3/1/2016, the reporting person was granted a Performance Stock Unit (PSU) of 3,025 shares of common stock. The PSU vested in full based on satisfaction of certain performance criteria approved by the Board of Directors. The performance criteria was met resulting in 143.667% payout of the original goal.
- 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 Performance Stock Unit #376.