SEC Form 4 · accession 0001181431-15-004533
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah A Degillio
Officer — VP and Treasurer
Period of report
Mar 10, 2015
Accepted (ET)
Mar 12, 2015 · 4:12 pm EDT
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 | Mar 10, 2015 | M | 1,310 | $34.12 | A | 3,222 | D | |
| Common Stock | Mar 10, 2015 | S | 1,310 | $52.06 | D | 1,912 | D | |
| Common Stock | Mar 10, 2015 | M | 1,383 | $39.45 | A | 3,295 | D | |
| Common Stock | Mar 10, 2015 | S | 1,383 | $52.06 | D | 1,912 | D | |
| Common Stock | Mar 10, 2015 | S | 1,108 | $52.16 | D | 804 | 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,F1 | $34.12 | Mar 10, 2015 | M | 1,310 | D | — | Dec 31, 2018 | Common Stock | 1,310 | 0 | D |
| Employee Stock Option (right to buy)F3 | $39.45 | Mar 10, 2015 | M | 1,383 | D | — | Dec 31, 2019 | Common Stock | 1,383 | 692 | D |
Explanation of responses
- F1The option award granted on February 21, 2012, representing a right to purchase 3,928 shares, vested in three equal installments on January 1, 2013, 2014 and 2015.
- F22,618 shares of this option award were previously exercised and reported.
- F3The option award granted on February 21, 2013, representing a right to purchase 2,225 shares, vests in three equal installments on January 1, 2014, 2015 and 2016.