SEC Form 4 · accession 0001209191-15-079957
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Loyd A Warnock
Officer — SVP, External Affairs, Comm.
Period of report
Nov 10, 2015
Accepted (ET)
Nov 13, 2015 · 11:15 am EST
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 | Nov 10, 2015 | M | 3,759 | $46.45 | A | 11,672 | D | |
| Common StockF2 | Nov 10, 2015 | S | 3,759 | $56.39 | D | 7,913 | D | |
| Common Stock | Nov 10, 2015 | S | 211 | $56.41 | D | 7,702 | 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 | $46.45 | Nov 10, 2015 | M | 3,759 | D | — | Dec 31, 2020 | Common Stock | 3,759 | 8,514 | D |
Explanation of responses
- F1Includes 727 shares purchased under the American Water Works Company, Inc. Employee Stock Purchase Plan (including 211 shares that were inadvertently omitted from the reporting person's Form 4s filed on January 5, 2015 and February 19, 2015).
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.3865 to $56.40, inclusive. The reporting person undertakes to provide to American Water Works Company, Inc., any security holder thereof, 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 above.
- F3The option award granted on April 28, 2014, representing a right to purchase 12,273 shares, vests in three equal installments on January 1, 2015, 2016 and 2017.