SEC Form 4 · accession 0001209191-17-001581
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise L Kruger
Officer — Sr. Vice President
Period of report
Jan 3, 2017
Accepted (ET)
Jan 4, 2017 · 8:08 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 | Dec 1, 2016 | A | 20 | $42.69 | A | 18,995 | D | |
| Common SharesF2 | Dec 30, 2016 | A | 817 | $0.00 | A | 18,995 | I | 401k |
| Common SharesF3 | Dec 30, 2016 | D | 3 | $0.00 | D | 18,993 | D | |
| Common Shares | Jan 3, 2017 | S | 1,250 | $45.46 | D | 17,743 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1DER units credited on 12/1/2016 as dividend at FMV
- F2Updated 401K
- F3Adjustment due to partial shares