SEC Form 4 · accession 0001209191-17-009282
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III James C Cotton
Officer — Senior Vice President
Period of report
Jan 31, 2017
Accepted (ET)
Feb 9, 2017 · 7:28 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 | 14 | $39.83 | A | 6,813 | D | |
| Common SharesF2 | Sep 1, 2016 | A | 15 | $38.85 | A | 6,828 | D | |
| Common SharesF3 | Dec 1, 2016 | A | 14 | $42.69 | A | 6,842 | D | |
| Common SharesF4 | Dec 30, 2016 | D | 440 | $0.00 | D | 677 | I | 401k |
| Common SharesF5 | Dec 30, 2016 | D | 2 | $0.00 | D | 6,840 | D | |
| Common Shares | Jan 31, 2017 | A | 789 | $0.00 | A | 7,629 | D | |
| Common SharesF6 | Feb 3, 2017 | F | 172 | $44.24 | D | 7,458 | D | |
| Common SharesF7 | Feb 3, 2017 | F | 170 | $44.24 | D | 7,288 | D | |
| Common SharesF8 | Feb 3, 2017 | F | 154 | $44.24 | D | 7,134 | 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
- F4Updated 401k
- F5Adjustment due to partial share
- F6447.0403 previously reported RSU's of which 171.6637 were withheld to satisfy tax liability
- F7441.9897 previously reported RSU's of which 169.7240 were withheld to satisfy tax liability
- F8399.8811 previously reported RSU's of which 153.5547 were withheld to satisfy tax liability