SEC Form 4 · accession 0001181431-15-004063
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter Lynch
Officer — President,Regulated Operations
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 12:35 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 StockF1 | Mar 3, 2015 | M | 10,000 | $22.26 | A | 82,212 | D | |
| Common Stock | Mar 3, 2015 | S | 10,000 | $53.50 | D | 72,212 | 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 Option (right to buy)F2 | $22.26 | Mar 3, 2015 | M | 10,000 | D | — | Dec 31, 2016 | Common Stock | 10,000 | 52,703 | D |
Explanation of responses
- F1Includes 113 shares purchased under the American Water Works Company, Inc.'s Nonqualified Employee Stock Purchase Plan.
- F2The option award granted on February 26, 2010, representing a right to purchase 62,703 shares, vested in three equal installments on January 1, 2011, 2012 and 2013.