SEC Form 4 · accession 0001209191-17-009313
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eva G Tang
Officer — Sr. Vice President & CFO
Period of report
Jan 31, 2017
Accepted (ET)
Feb 9, 2017 · 7:55 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 | 21 | $39.83 | A | 25,867 | D | |
| Common SharesF2 | Sep 1, 2016 | A | 22 | $38.85 | A | 25,888 | D | |
| Common SharesF3 | Dec 1, 2016 | A | 21 | $42.69 | A | 25,910 | D | |
| Common SharesF4 | Dec 1, 2016 | A | 363 | $0.00 | A | 26,272 | D | |
| Common SharesF5 | Dec 30, 2016 | A | 467 | $0.00 | A | 8,657 | I | 401k |
| Common SharesF6 | Dec 30, 2016 | D | 3 | $0.00 | D | 26,270 | D | |
| Common Shares | Jan 31, 2017 | A | 1,353 | $0.00 | A | 27,623 | D | |
| Common SharesF7 | Feb 3, 2017 | F | 313 | $44.24 | D | 27,310 | D | |
| Common SharesF8 | Feb 3, 2017 | F | 342 | $44.24 | D | 26,967 | D | |
| Common SharesF9 | Feb 3, 2017 | F | 201 | $44.24 | D | 26,766 | 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 DRIP
- F5Updated 401k
- F6Adjustment due to partial share
- F7714.7142 previously reported RSU's of which 312.9019 were withheld to satisfy tax liability
- F8782.5391 previously reported RSU's of which 342.4620 were withheld to satisfy tax liability
- F9489.6434 previously reported RSU's of which 201.4137 were withheld to satisfy tax liability