SEC Form 4 · accession 0001209191-17-048465
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Gallagher
Officer — Vice President
Period of report
Aug 9, 2017
Accepted (ET)
Aug 10, 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 | 8 | $46.75 | A | 23,667 | D | |
| Common SharesF2 | Jun 6, 2017 | A | 116 | $0.00 | A | 23,783 | D | |
| Common Shares | Aug 9, 2017 | M | 1,932 | $16.68 | A | 25,715 | D | |
| Common Shares | Aug 9, 2017 | S | 1,932 | $50.97 | D | 23,783 | 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) | $16.68 | Aug 9, 2017 | M | 1,932 | A | Jan 31, 2011 | Jan 31, 2020 | Common Shares | 1,932 | 0 | D |
Explanation of responses
- F1DER units credited on 6/1/2017 as dividend at FMV
- F2Updated DRIP