SEC Form 4 · accession 0001209191-17-035106
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Anderson
Director
Period of report
May 23, 2017
Accepted (ET)
May 24, 2017 · 6:29 pm EDT
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 | 8 | $39.83 | A | 34,080 | D | |
| Common SharesF2 | Aug 15, 2016 | A | 93 | $41.37 | A | 34,173 | D | |
| Common SharesF3 | Sep 1, 2016 | A | 8 | $38.85 | A | 34,181 | D | |
| Common SharesF4 | Nov 15, 2016 | A | 100 | $41.45 | A | 34,281 | D | |
| Common SharesF5 | Dec 31, 2016 | A | 819 | $0.00 | A | 35,100 | D | |
| Common SharesF6 | Feb 15, 2017 | A | 95 | $43.91 | A | 35,196 | D | |
| Common SharesF7 | May 15, 2017 | A | 94 | $44.59 | A | 35,290 | D | |
| Common Shares | May 23, 2017 | A | 1,667 | $44.99 | A | 36,957 | 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 8/15/2016 as dividend at FMV
- F3DER units credited on 9/1/2016 as dividend at FMV
- F4DER units credited on 11/15/2016 as dividend at FMV
- F5Updated DRIP in Schwab account
- F6DER units credited on 2/15/2017 as dividend at FMV
- F7DER units credited on 5/15/2017 as dividend at FMV