SEC Form 4 · accession 0001209191-17-048467
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 8, 2017
Accepted (ET)
Aug 10, 2017 · 6:03 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 8, 2017 | M | 2,000 | $17.29 | A | 111,454 | D | |
| Common Shares | Aug 8, 2017 | S | 2,000 | $51.00 | D | 109,454 | D | |
| Common Shares | Aug 9, 2017 | M | 7,586 | $17.29 | A | 117,040 | D | |
| Common Shares | Aug 9, 2017 | S | 4,593 | $51.01 | D | 112,447 | D | |
| Common Shares | Aug 9, 2017 | S | 2,715 | $51.00 | D | 109,732 | D | |
| Common Shares | Aug 9, 2017 | S | 278 | $51.02 | 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 | Aug 8, 2017 | M | 2,000 | A | Jan 29, 2010 | Jan 29, 2019 | Common Shares | 2,000 | 0 | D |
| Employee Stock Option (Right to Buy) | $17.29 | Aug 9, 2017 | M | 7,586 | A | Jan 29, 2010 | Jan 29, 2019 | Common Shares | 7,586 | 0 | D |