SEC Form 4 · accession 0001209191-18-062135
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
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 8:51 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, 2018 | A | 44 | $56.36 | A | 122,270 | D | |
| Common SharesF2 | Aug 31, 2018 | A | 44 | $60.43 | A | 122,314 | D | |
| Common SharesF3 | Dec 3, 2018 | A | 39 | $68.02 | A | 122,354 | D | |
| Common Shares | Dec 7, 2018 | M | 4,000 | $16.68 | A | 126,354 | D | |
| Common Shares | Dec 7, 2018 | S | 100 | $65.60 | D | 126,254 | D | |
| Common Shares | Dec 7, 2018 | S | 200 | $65.58 | D | 126,054 | D | |
| Common Shares | Dec 7, 2018 | S | 200 | $65.57 | D | 125,854 | D | |
| Common Shares | Dec 7, 2018 | S | 3,408 | $65.55 | D | 122,446 | D | |
| Common SHares | Dec 7, 2018 | S | 92 | $65.56 | D | 122,354 | 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) | $16.68 | Dec 7, 2018 | M | 4,000 | A | Jan 31, 2011 | Jan 31, 2020 | Common Shares | 4,000 | 0 | D |
Explanation of responses
- F1DER Units credited on 06/01/2018 as dividend at FMV
- F2DER Units credited on 08/31/2018 as dividend at FMV
- F3DER unites credited on 12/03/2018 as dividend at FMV