SEC Form 4 · accession 0001181431-15-004570
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Smith
Officer — VP & Chief Information Officer
Period of report
Mar 11, 2015
Accepted (ET)
Mar 13, 2015 · 1:22 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 11, 2015 | M | 123 | $27.08 | D | 4,352 | D | |
| Common Stock | Mar 11, 2015 | S | 123 | $52.44 | D | 4,229 | D | |
| Common Stock | Mar 11, 2015 | M | 647 | $34.12 | D | 4,876 | D | |
| Common Stock | Mar 11, 2015 | S | 647 | $52.44 | D | 4,229 | D | |
| Common Stock | Mar 11, 2015 | S | 224 | $52.44 | D | 4,005 | 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 | $27.08 | Mar 11, 2015 | M | 123 | D | — | Dec 31, 2017 | Common Stock | 123 | 0 | D |
| Employee Stock Option (right to buy)F4,F3 | $34.12 | Mar 11, 2015 | M | 647 | D | — | Dec 31, 2018 | Common Stock | 647 | 1,033 | D |
Explanation of responses
- F1The option award granted on February 24, 2011, representing a right to purchase 981 shares, vested in three equal installments on January 1, 2012, 2013 and 2014.
- F2858 shares of this option award were previously exercised and reported.
- F3The option award granted on February 23, 2012, representing a right to purchase 4,008 shares, vested in three equal installments on January 1, 2013, 2014 and 2015.
- F42,328 shares of this option award were previously exercised and reported.