SEC Form 4 · accession 0001209191-19-006327
AMERICAN STATES WATER CO · AWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III James C Cotton
Officer — Senior Vice President
Period of report
Jan 29, 2019
Accepted (ET)
Jan 31, 2019 · 9:44 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 | 9 | $56.36 | A | 7,164 | D | |
| Common SharesF2 | Aug 31, 2018 | A | 9 | $60.43 | A | 7,173 | D | |
| Common SharesF3 | Dec 3, 2018 | A | 8 | $68.02 | A | 7,182 | D | |
| Common SharesF4 | Jan 10, 2019 | D | 2 | $0.00 | D | 7,180 | D | |
| Common SharesF5 | Jan 10, 2019 | A | 109 | $0.00 | D | 1,607 | I | 401k |
| Common Shares | Jan 29, 2019 | A | 531 | $0.00 | A | 7,711 | D |
Table II — derivative securities
No Table II lines on this filing.
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
- F4Adjustment due to partial share
- F5Updated 401k