SEC Form 4 · accession 0001181431-15-002845

American Water Works Company, Inc. · AWK

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

Reporting owner

Officer — Vice President & Controller

Period of report

Feb 17, 2015

Accepted (ET)

Feb 19, 2015 · 6:25 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	Nature of ownership
Common Stock^F1	Feb 17, 2015	A	532	$0.00	A	14,135	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Stock Unit^F2,F3	—	Feb 17, 2015	A	689	A	—	Dec 31, 2017	Common Stock	689	689	D
Employee Stock Option (right to buy)^F4	$52.75	Feb 17, 2015	A	4,517	A	—	Dec 31, 2021	Common Stock	4,517	4,517	D

F1The shares indicated constitute restricted stock units that settle in common stock on a one share per unit basis. The restricted stock units vest in three equal installments on January 1, 2016, 2017 and 2018.
F2Each performance stock unit represents a contingent right to receive one share of common stock of American Water Works Company, Inc. (the "Company"). The actual number of performance stock units that may be earned will be based on the Company's 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, 2015 and ending December 31, 2017. The number of performance stock units shown in column 5 is equal to the target number of performance stock units that may be earned.
F3Represents the end of the performance period to which the performance stock units relate.
F4The options vest in three equal installments on January 1, 2016, 2017 and 2018.