SEC Form 4 · accession 0001181431-15-008738
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
Jul 8, 2015
Accepted (ET)
Jul 13, 2015 · 1:01 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 Shares | Jul 8, 2015 | M | 4,346 | $16.87 | A | 81,293 | D | |
| Common Shares | Jul 8, 2015 | S | 4,346 | $39.00 | D | 76,947 | 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 | Jul 8, 2015 | M | 4,346 | A | Jan 29, 2007 | Jan 29, 2016 | Common Shares | 4,346 | 75,084 | D |