SEC Form 4 · accession 0001209191-15-074182
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
Oct 5, 2015
Accepted (ET)
Oct 5, 2015 · 7:11 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 | Oct 5, 2015 | M | 6,000 | $20.97 | A | 58,398 | D | |
| Common Shares | Oct 5, 2015 | S | 6,000 | $42.00 | D | 52,398 | 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) | $20.97 | Oct 5, 2015 | M | 6,000 | A | May 9, 2006 | May 8, 2016 | Common Shares | 6,000 | 0 | D |