SEC Form 4 · accession 0001209191-16-131958
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Sprowls
Officer — President & CEO
Period of report
Jul 5, 2016
Accepted (ET)
Jul 7, 2016 · 11:58 am 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 6, 2016 | A | 342 | $0.00 | D | 91,874 | D | |
| Common Shares | Jul 5, 2016 | M | 4,342 | $19.31 | A | 96,216 | D | |
| Common Shares | Jul 5, 2016 | S | 4,342 | $44.00 | D | 91,874 | 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 | Jul 5, 2016 | M | 4,342 | A | Jan 1, 2008 | Jan 1, 2017 | Common Shares | 4,342 | 0 | D |
Explanation of responses
- F1Updated DRIP