SEC Form 4 · accession 0001209191-16-108972
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III James C Cotton
Officer — Senior Vice President
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 8:52 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 | Mar 1, 2016 | A | 13 | $41.98 | A | 5,440 | D | |
| Common Shares | Mar 14, 2016 | A | 2,010 | $40.62 | A | 7,450 | D | |
| Common SharesF2 | Mar 14, 2016 | F | 651 | $40.62 | D | 6,799 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1DER units credited on 3/1/2016 as dividend at FMV
- F2651.4284 shares withheld to satisfy tax liability