SEC Form 4 · accession 0001181431-15-004374
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Sprowls
Officer — President & CEO
Period of report
Mar 5, 2015
Accepted (ET)
Mar 9, 2015 · 4:22 pm EDT
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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Mar 2, 2015 | A | 100 | $39.65 | A | 73,753 | D | |
| Common SharesF2 | Mar 5, 2015 | F | 1,636 | $39.16 | D | 72,117 | D | |
| Common SharesF3 | Mar 5, 2015 | F | 1,604 | $39.16 | D | 70,513 | D | |
| Common Shares | Mar 5, 2015 | M | 300 | $16.87 | A | 70,813 | D | |
| Common Shares | Mar 5, 2015 | S | 200 | $39.50 | D | 70,713 | D | |
| Common Shares | Mar 5, 2015 | S | 100 | $39.52 | D | 70,513 | 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 Options (Right to Buy) | $16.87 | Mar 5, 2015 | M | 300 | A | Jan 29, 2007 | Jan 29, 2016 | Common Shares | 300 | 84,730 | D |
Explanation of responses
- F1DER units credited on 3/2/2015 as dividned at FMV
- F24353 previously reported RSU's of which 1636.0595 were withheld to satisfy tax withholding
- F34268 previously reported RSU's of which 1604.1456 were withheld to satisfy tax withholding