SEC Form 4 · accession 0001209191-18-062831
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eva G Tang
Officer — Sr. Vice President & CFO
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 8:09 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 | 11 | $56.36 | A | 30,562 | D | |
| Common SharesF2 | Jun 5, 2018 | A | 122 | $0.00 | A | 30,685 | D | |
| Common SharesF3 | Aug 31, 2018 | A | 12 | $60.43 | A | 30,696 | D | |
| Common SharesF2 | Sep 5, 2018 | A | 124 | $0.00 | A | 30,820 | D | |
| Common SharesF4 | Dec 3, 2018 | A | 10 | $68.02 | A | 30,830 | D | |
| Common SharesF2 | Dec 5, 2018 | A | 113 | $0.00 | A | 30,943 | D | |
| Common Shares | Dec 12, 2018 | M | 1,200 | $16.68 | A | 32,143 | D | |
| Common Shares | Dec 12, 2018 | S | 600 | $68.00 | D | 31,543 | D | |
| Common SHares | Dec 13, 2018 | S | 600 | $68.75 | D | 30,943 | 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 12, 2018 | M | 1,200 | A | Jan 31, 2011 | Jan 31, 2020 | Common Shares | 1,200 | 0 | D |
Explanation of responses
- F1DER Units credited on 06/01/2018 as dividend at FMV
- F2Updated DRIP
- F3DER Units credited on 08/31/2018 as dividend at FMV
- F4DER unites credited on 12/03/2018 as dividend at FMV