SEC Form 4 · accession 0001209191-15-067753
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
Aug 21, 2015
Accepted (ET)
Aug 25, 2015 · 2:50 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 | Aug 21, 2015 | M | 20,000 | $22.26 | A | 92,341 | D | |
| Common Stock | Aug 21, 2015 | S | 20,000 | $54.02 | D | 72,341 | 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,F3 | $22.26 | Aug 21, 2015 | M | 20,000 | D | — | Dec 31, 2016 | Common Stock | 20,000 | 32,703 | D |
Explanation of responses
- F1Includes 129 shares purchased on or after March 5, 2015 under the American Water Works Company, Inc.'s Employee Stock Purchase Plan.
- F2The exercise price of this option was incorrectly reported as $22.31 on the reporting person's Form 4 filed with the Securities and Exchange Commission on March 1, 2010.
- F3The 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.