SEC Form 4 · accession 0001209191-17-048176
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
Aug 4, 2017
Accepted (ET)
Aug 8, 2017 · 6:31 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 Shares | Aug 4, 2017 | M | 1,892 | $17.29 | A | 111,346 | D | |
| Common Shares | Aug 4, 2017 | S | 1,892 | $51.00 | D | 109,454 | D | |
| Common Shares | Aug 7, 2017 | M | 3,722 | $17.29 | A | 113,176 | D | |
| Common Shares | Aug 7, 2017 | S | 3,722 | $51.00 | 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 Options (Right to Buy) | $17.29 | Aug 4, 2017 | M | 1,892 | A | Jan 29, 2010 | Jan 29, 2019 | Common Shares | 1,892 | 0 | D |
| Employee Stock Options (Right to Buy) | $17.29 | Aug 7, 2017 | M | 3,722 | A | Jan 29, 2010 | Jan 29, 2019 | Common Shares | 3,722 | 0 | D |