SEC Form 4 · accession 0001209191-15-087424
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
Dec 28, 2015
Accepted (ET)
Dec 30, 2015 · 5:34 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 Shares | Dec 28, 2015 | M | 1,100 | $19.31 | A | 24,183 | D | |
| Common Shares | Dec 28, 2015 | S | 1,100 | $43.25 | D | 23,083 | D | |
| Common Shares | Dec 29, 2015 | M | 1,100 | $19.31 | A | 24,183 | D | |
| Common Shares | Dec 29, 2015 | S | 1,100 | $43.75 | D | 23,083 | 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 | Dec 28, 2015 | M | 1,100 | A | Jan 1, 2008 | Jan 1, 2017 | Common Shares | 1,100 | 0 | D |
| Employee Stock Option (Right to Buy) | $19.31 | Dec 29, 2015 | M | 1,100 | A | Jan 1, 2008 | Jan 1, 2017 | Common Shares | 1,100 | 0 | D |