SEC Form 4 · accession 0001209191-16-153704
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
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 5:32 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 7, 2016 | A | 348 | $0.00 | A | 92,402 | D | |
| Common SharesF2 | Dec 1, 2016 | A | 57 | $42.69 | A | 92,459 | D | |
| Common SharesF3 | Dec 2, 2016 | A | 121 | $0.00 | A | 92,580 | D | |
| Common SharesF1 | Dec 6, 2016 | A | 343 | $0.00 | A | 92,922 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Updated DRIP in Computershare Account
- F2DER units credited on 12/1/2016 as dividend at FMV
- F3Updated DRIP in Merrill Lynch account