SEC Form 4 · accession 0001209191-17-037915
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
Jun 2, 2017
Accepted (ET)
Jun 5, 2017 · 6:02 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, 2017 | A | 53 | $46.75 | A | 108,937 | D | |
| Common SharesF2 | Jun 2, 2017 | A | 113 | $0.00 | A | 109,050 | D | |
| Common Shares | Jun 2, 2017 | M | 13,304 | $17.06 | A | 122,354 | D | |
| Common Shares | Jun 2, 2017 | S | 13,304 | $47.00 | D | 109,050 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $17.06 | Jun 2, 2017 | M | 13,304 | A | Jan 27, 2009 | Jan 27, 2018 | Common Shares | 13,304 | 0 | D |
Explanation of responses
- F1DER units credited on 6/1/2017 as dividend at FMV
- F2Updated DRIP in Merrill account