SEC Form 4 · accession 0001209191-17-009310
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Sprowls
Officer — President & CEO
Period of report
Jan 31, 2017
Accepted (ET)
Feb 9, 2017 · 7:53 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 30, 2016 | A | 1,283 | $0.00 | A | 17,488 | I | 401k |
| Common SharesF2 | Dec 30, 2016 | D | 2 | $0.00 | D | 92,920 | D | |
| Common Shares | Jan 31, 2017 | A | 5,072 | $0.00 | A | 97,992 | D | |
| Common SharesF3 | Feb 3, 2017 | F | 784 | $44.24 | D | 97,208 | D | |
| Common SharesF4 | Feb 3, 2017 | F | 599 | $44.24 | D | 96,609 | D | |
| Common SharesF5 | Feb 3, 2017 | F | 613 | $44.24 | D | 95,996 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Updated 401k
- F2Adjustment due to partial share
- F31947.7074 previously reported RSU's of which 783.7988 were withheld to satisfy tax liability
- F41610.9678 previously reported RSU's of which 598.9062 were withheld to satisfy tax liability
- F51631.5824 previously reported RSU's of which 613.1487 were withheld to satisfy tax liability