SEC Form 4 · accession 0001181431-15-000351

AMERICAN STATES WATER CO · AWR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Lloyd E Ross

Director

Period of report

Jan 2, 2015

Accepted (ET)

Jan 5, 2015 · 8:10 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001056903

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Shares^F1	Aug 15, 2014	A	123	$31.26	A	51,142	D
Common Shares^F2	Sep 2, 2014	A	12	$32.26	A	51,153	D
Common Shares^F3	Nov 14, 2014	A	113	$34.24	A	51,266	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	M	6,000	$13.41	D	57,266	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	900	$37.55	D	56,366	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	122	$37.57	D	56,244	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	78	$37.60	D	56,166	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.61	D	56,066	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.63	D	55,966	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.64	D	55,866	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	200	$37.66	D	55,666	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	400	$37.68	D	55,266	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.72	D	55,166	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.73	D	55,066	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.75	D	54,966	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	200	$37.77	D	54,766	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.79	D	54,666	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	200	$37.81	D	54,466	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.88	D	54,366	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	200	$37.92	D	54,166	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.93	D	54,066	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	400	$37.95	D	53,666	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.97	D	53,566	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.98	D	53,466	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$37.99	D	53,366	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	200	$38.00	D	53,166	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	200	$38.01	D	52,966	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	400	$38.04	D	52,566	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	300	$38.05	D	52,266	D
Employee Stock Option (Right to Buy)	Jan 2, 2015	S	100	$38.06	D	52,166	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)	$13.41	Jan 2, 2015	M	6,000	D	May 17, 2005	May 16, 2015	Common Shares	6,000	0	D

Explanation of responses

F1DER units credited on 8/15/2014 as dividend at FMV
F2DER units credited on 9/2/2014 as dividend at FMV
F3DER units credited on 11/14/2014 as dividend at FMV