SEC Form 4 · accession 0001209191-17-039377
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 9, 2017
Accepted (ET)
Jun 13, 2017 · 1:23 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 6, 2017 | A | 404 | $0.00 | A | 109,454 | D | |
| Common Shares | Jun 9, 2017 | M | 15,200 | $17.29 | A | 124,654 | D | |
| Common Shares | Jun 9, 2017 | S | 15,200 | $49.00 | D | 109,454 | 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) | $17.29 | Jun 9, 2017 | M | 15,200 | A | Jan 29, 2010 | Jan 29, 2019 | Common Shares | 15,200 | 0 | D |
Explanation of responses
- F1Updated DRIP amount