SEC Form 4 · accession 0001209191-18-006601
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Granville R Hodges Jr.
Officer — Vice President
Period of report
Jan 30, 2018
Accepted (ET)
Feb 1, 2018 · 8:11 pm EST
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 | 12,047 | D | |
| Common SharesF2 | Sep 1, 2017 | A | 8 | $48.98 | A | 12,055 | D | |
| Common SharesF3 | Dec 1, 2017 | A | 7 | $57.12 | A | 12,062 | D | |
| Common SharesF4 | Jan 2, 2018 | A | 26 | $0.00 | A | 13,272 | I | 401k |
| Common SharesF5 | Jan 2, 2018 | D | 1 | $0.00 | D | 12,061 | D | |
| Common Shares | Jan 30, 2018 | A | 536 | $0.00 | A | 12,597 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1DER units credited on 06/01/2017 as dividend at FMV
- F2DER units credited on 09/01/2017 as dividend at FMV
- F3DER units credited on 12/01/2017 as dividend at FMV
- F4Updated 401k Information
- F5Adjustment due to partial share