SEC Form 4 · accession 0001181431-15-006822
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
May 11, 2015
Accepted (ET)
May 12, 2015 · 4:54 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 5, 2015 | A | 190 | $0.00 | A | 70,703 | D | |
| Common SharesF2 | Mar 5, 2015 | A | 1,073 | $0.00 | A | 71,776 | D | |
| Common Shares | May 11, 2015 | M | 5,000 | $16.87 | A | 76,776 | 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) | $16.87 | May 11, 2015 | M | 5,000 | A | Jan 29, 2007 | Jan 29, 2016 | Common Shares | 5,000 | 0 | D |
Explanation of responses
- F1Updated Company DRIP Plan
- F2Updated DRIP plan from Merrill Lynch account