SEC Form 4 · accession 0001209191-15-072347
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eva G Tang
Officer — Sr. Vice President & CFO
Period of report
Sep 24, 2015
Accepted (ET)
Sep 28, 2015 · 7:00 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 | Jun 1, 2015 | A | 24 | $38.61 | A | 22,475 | D | |
| Common SharesF2 | Sep 1, 2015 | A | 27 | $36.95 | A | 22,772 | D | |
| Common SharesF3 | Sep 5, 2015 | A | 288 | $0.00 | A | 23,060 | D | |
| Common Shares | Sep 24, 2015 | M | 1,000 | $19.31 | A | 24,060 | D | |
| Common Shares | Sep 24, 2015 | S | 1,000 | $41.25 | D | 23,060 | D | |
| Common Shares | Sep 25, 2015 | M | 1,000 | $19.31 | A | 24,060 | D | |
| Common Shares | Sep 25, 2015 | S | 1,000 | $41.75 | D | 23,060 | 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) | $19.31 | Sep 24, 2015 | M | 1,000 | A | Jan 1, 2008 | Jan 1, 2017 | Common Shares | 1,000 | 0 | D |
| Employee Stock Option (Right to Buy) | $19.31 | Sep 25, 2015 | M | 1,000 | A | Jan 1, 2008 | Jan 1, 2017 | Common Shares | 1,000 | 0 | D |
Explanation of responses
- F1DER units credited on 6/1/2015 as dividend at FMV
- F2DER units credited on 9/1/2015 as dividend at FMV
- F3Updated DRIP