SEC Form 4 · accession 0001181431-15-007224
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark F. Strauss
Officer — SVP,Corp Strategy&Bus. Develop
Period of report
May 19, 2015
Accepted (ET)
May 20, 2015 · 5:13 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 StockF1 | May 19, 2015 | M | 9,280 | $20.70 | A | 36,825 | D | |
| Common StockF2 | May 19, 2015 | S | 9,280 | $53.58 | D | 27,545 | 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)F3 | $20.70 | May 19, 2015 | M | 9,280 | D | — | Dec 31, 2015 | Common Stock | 9,280 | 53,173 | D |
Explanation of responses
- F1Includes 62 shares purchased under the American Water Works Company, Inc.'s Nonqualified Employee Stock Purchase Plan.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.57 to $53.63, inclusive. The reporting person undertakes to provide to American Water Works Company, Inc., any security holder of American Water Works Company, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- F3The option award granted on February 20, 2009, representing a right to purchase 21,280 shares, vested in three equal installments on January 1, 2010, 2011 and 2012.