SEC Form 4 · accession 0001209191-17-009303
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 31, 2017
Accepted (ET)
Feb 9, 2017 · 7:38 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 Shares | Jan 31, 2017 | A | 2,029 | $0.00 | A | 19,772 | D | |
| Common SharesF1 | Feb 3, 2017 | F | 426 | $44.24 | D | 18,095 | D | |
| Common SharesF2 | Feb 3, 2017 | F | 221 | $44.24 | D | 17,874 | D | |
| Common SharesF3 | Feb 3, 2017 | F | 201 | $44.24 | D | 17,673 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1974.1190 previously reported RSU's of which 426.4695 were withheld to satisfy tax liability
- F2506.1662 previously reported RSU's of which 221.3470 were withheld to satisfy tax liability
- F3489.6434 previously reported RSU's of which 200.7034 were withheld to satisfy tax liability