SEC Form 4 · accession 0001209191-15-081848
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Anderson
Director
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 6:04 pm EST
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 | Aug 14, 2015 | A | 96 | $39.09 | A | 37,409 | D | |
| Common SharesF2 | Sep 1, 2015 | A | 9 | $36.95 | A | 37,418 | D | |
| Common SharesF3 | Nov 16, 2015 | A | 92 | $40.79 | A | 37,510 | D | |
| Common Shares | Nov 20, 2015 | S | 200 | $41.08 | D | 37,710 | D | |
| Common Shares | Nov 20, 2015 | S | 300 | $41.09 | D | 38,010 | D | |
| Common Shares | Nov 20, 2015 | S | 100 | $41.12 | D | 38,110 | D | |
| Common Shares | Nov 20, 2015 | S | 101 | $41.15 | D | 38,211 | D | |
| Common Shares | Nov 20, 2015 | S | 1,399 | $41.17 | D | 39,610 | D | |
| Common Shares | Nov 20, 2015 | S | 2,900 | $41.14 | D | 42,510 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1DER units credited on 8/14/2015 as dividend at FMV
- F2DER units credited on 9/1/2015 as dividend at FMV
- F3DER units credited on 11/16/2015 as dividend at FMV