SEC Form 4 · accession 0001181431-15-001248

American Water Works Company, Inc. · AWK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President, PA American Water

Period of report

Jan 16, 2015

Accepted (ET)

Jan 21, 2015 · 3:38 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001410636

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock	Jan 16, 2015	M	2,534	$0.00	A	27,669	D
Common Stock	Jan 16, 2015	A	2,852	$0.00	A	30,551	D
Common Stock	Jan 16, 2015	F	1,781	$55.71	D	28,770	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Stock Units^F2,F1,F4	—	Jan 16, 2015	A	1,086	A	—	Dec 31, 2014	Common Stock	1,086	2,534	D
Performance Stock Units^F3,F1,F4	—	Jan 16, 2015	M	2,534	D	—	Dec 31, 2014	Common Stock	2,534	0	D

F1Each performance stock unit represented a contingent right to receive one share of common stock of American Water Works Company, Inc. (the "Company"), based on the Company's annual total stockholder return ("TSR") relative to the performance of the other companies in the Dow Jones U.S. Utility Total Return Index over a three-year performance period, beginning on January 1, 2012 and ending December 31, 2014.
F2Represents the above-target earned portion of the TSR performance stock unit. In 2012, the Company granted 1,448 performance stock units, equal to the number of shares to be received if target performance was achieved.
F3Represents the earned portion of the TSR performance stock units, including target units granted in 2012 and above-target units earned based on TSR performance. The number of TSR performance stock units earned was 175 percent of the target.
F4Represents the end of the performance period to which the performance stock units relate.