SEC Form 4 · accession 0001209191-18-063121
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 14, 2018
Accepted (ET)
Dec 18, 2018 · 2:50 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 Shares | Dec 14, 2018 | M | 600 | $16.68 | A | 31,543 | D | |
| Common Shares | Dec 14, 2018 | S | 600 | $69.50 | 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 14, 2018 | M | 600 | A | Jan 31, 2011 | Jan 31, 2020 | Common Shares | 600 | 0 | D |