SEC Form 4 · accession 0001209191-17-009280
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gladys Farrow
Officer — Vice President
Period of report
Jan 31, 2017
Accepted (ET)
Feb 9, 2017 · 7:27 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 | Jun 1, 2016 | A | 13 | $39.83 | A | 2,400 | D | |
| Common SharesF2 | Sep 1, 2016 | A | 14 | $38.85 | A | 2,413 | D | |
| Common SharesF3 | Dec 1, 2016 | A | 14 | $42.69 | A | 2,427 | D | |
| Common SharesF4 | Dec 30, 2016 | D | 2 | $0.00 | D | 2,426 | D | |
| Common Shares | Jan 31, 2017 | A | 1,223 | $0.00 | A | 3,649 | D | |
| Common SharesF5 | Feb 3, 2017 | F | 245 | $44.24 | D | 3,404 | D | |
| Common SharesF6 | Feb 3, 2017 | F | 173 | $44.24 | D | 3,231 | D | |
| Common SharesF7 | Feb 3, 2017 | F | 154 | $44.24 | D | 3,077 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1DER units credited on 6/1/2016 as dividend at FMV
- F2DER units credited on 9/1/2016 as dividend at FMV
- F3DER units credited on 12/1/2016 as dividend at FMV
- F4Adjustment due to partial share
- F5558.5351 previously reported RSU's of which 244.5267 were withheld to satisfy tax liability
- F6395.7550 previously reported RSU's of which 173.2615 were withheld to satisfy tax liability
- F7350.9505 previously reported RSU's of which 153.6460 were withheld to satisfy tax liability