SEC Form 4 · accession 0001209191-16-152275
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne M Holloway
Director
Period of report
Nov 28, 2016
Accepted (ET)
Nov 29, 2016 · 2:40 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 | Sep 1, 2016 | A | 8 | $38.85 | A | 40,696 | D | |
| Common SharesF2 | Nov 15, 2016 | A | 99 | $41.45 | A | 40,795 | D | |
| Common Shares | Nov 28, 2016 | S | 100 | $44.16 | D | 40,695 | D | |
| Common Shares | Nov 28, 2016 | S | 1,400 | $44.12 | D | 39,295 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1DER units credited on 09/01/2016 as dividend at FMV
- F2DER units credited on 11/15/2016 as dividend at FMV