SEC Form 4 · accession 0001209191-17-009307
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Rowley
Officer — VP OF OPERATIONS
Period of report
Jan 31, 2017
Accepted (ET)
Feb 9, 2017 · 7:42 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 | Mar 1, 2016 | A | 5 | $41.98 | A | 1,005 | D | |
| Common SharesF2 | Jun 1, 2016 | A | 5 | $39.83 | A | 1,010 | D | |
| Common SharesF3 | Sep 1, 2016 | A | 5 | $38.85 | A | 1,015 | D | |
| Common SharesF4 | Dec 1, 2016 | A | 5 | $42.69 | A | 1,020 | D | |
| Common SharesF5 | Dec 30, 2016 | A | 2,079 | $0.00 | A | 2,079 | I | 401k |
| Common SharesF6 | Dec 30, 2016 | D | 1 | $0.00 | D | 1,019 | D | |
| Common Shares | Jan 31, 2017 | A | 969 | $0.00 | A | 1,988 | D | |
| Common SharesF7 | Feb 3, 2017 | F | 37 | $44.24 | D | 1,951 | D | |
| Common SharesF8 | Feb 3, 2017 | F | 42 | $44.24 | D | 1,909 | D | |
| Common SharesF9 | Feb 3, 2017 | F | 86 | $44.24 | D | 1,824 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1DER units credited on 3/1/2016 as dividend at FMV
- F2DER units credited on 6/1/2016 as dividend at FMV
- F3DER units credited on 9/1/2016 as dividend at FMV
- F4DER units credited on 12/1/2016 as dividend at FMV
- F5updated 401k
- F6Adjustment due to partial share
- F783.8793 previously reported RSU's of which 36.7226 were withheld to satisfy tax liability
- F894.8846 previously reported RSU's of which 41.5405 were withheld to satisfy tax liability
- F9195.7224 previously reported RSU's of which 85.6872 were withheld to satisfy tax liability