SEC Form 4 · accession 0001181431-15-007405
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathy L Pape
Officer — President, PA American Water
Period of report
May 22, 2015
Accepted (ET)
May 26, 2015 · 9:51 am 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 22, 2015 | M | 410 | $20.70 | A | 30,110 | D | |
| Common Stock | May 22, 2015 | S | 410 | $52.91 | D | 29,700 | D | |
| Common Stock | May 22, 2015 | M | 2,367 | $22.31 | A | 32,067 | D | |
| Common Stock | May 22, 2015 | S | 2,367 | $52.91 | D | 29,700 | D | |
| Common Stock | May 22, 2015 | M | 2,193 | $27.08 | A | 31,893 | D | |
| Common Stock | May 22, 2015 | S | 2,193 | $52.91 | D | 29,700 | 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,F2 | $20.70 | May 22, 2015 | M | 410 | D | — | Dec 31, 2015 | Common Stock | 410 | 0 | D |
| Employee Stock Option (right to buy)F5,F4 | $22.31 | May 22, 2015 | M | 2,367 | D | — | Dec 31, 2016 | Common Stock | 2,367 | 0 | D |
| Employee Stock Option (right to buy)F7,F6 | $27.08 | May 22, 2015 | M | 2,193 | D | — | Dec 31, 2017 | Common Stock | 2,193 | 0 | D |
Explanation of responses
- F1Includes 97 shares purchased under the American Water Works Company, Inc.'s Nonqualified Employee Stock Purchase Plan.
- F2The option award granted on February 20, 2009, representing a right to purchase 20,177 shares, vested in three equal installments on January 1, 2010, 2011 and 2012.
- F319,767 shares of this option award were previously exercised and reported.
- F4The option award granted on February 25, 2010, representing a right to purchase 16,816 shares, vested in three equal installments on January 1, 2011, 2012 and 2013.
- F514,449 shares of this option award were previously exercised and reported.
- F6The option award granted on February 24, 2011, representing a right to purchase 15,029 shares, vested in three equal installments on January 1, 2012, 2013 and 2014.
- F712,836 shares of this option award were previously exercised and reported.