SEC Form 4 · accession 0001209191-15-081680
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Chesla
Officer — Vice President & Controller
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 7:52 pm 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 18, 2015 | M | 13,253 | $20.70 | A | 28,052 | D | |
| Common Stock | Nov 18, 2015 | S | 13,253 | $57.00 | D | 14,799 | 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 | $20.70 | Nov 18, 2015 | M | 13,253 | D | — | Dec 31, 2015 | Common Stock | 13,253 | 0 | D |
Explanation of responses
- F1Includes 1,731 shares purchased under the American Water Works Company, Inc. Employee Stock Purchase Plan and through the automatic reinvestment of dividends paid on common stock (including 794 shares inadvertently omitted from the reporting person's previous Form 4s filed on March 17, 2014 and during 2015).
- F2The option award granted on February 20, 2009 and representing a right to purchase 13,253 shares, vested in three equal installments on January 1, 2010, 2011 and 2012.