SEC Form 4 · accession 0001209191-15-081806
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter Lynch
Officer — President and COO, Reg. Ops.
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 5:07 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 20, 2015 | M | 2,703 | $22.26 | A | 75,585 | D | |
| Common Stock | Nov 20, 2015 | S | 2,703 | $57.50 | D | 72,882 | D | |
| Common Stock | Nov 20, 2015 | M | 7,297 | $27.08 | A | 80,179 | D | |
| Common Stock | Nov 20, 2015 | S | 7,297 | $57.50 | D | 72,882 | 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 | $22.26 | Nov 20, 2015 | M | 2,703 | D | — | Dec 31, 2016 | Common Stock | 2,703 | 0 | D |
| Employee Stock Option (right to buy)F4 | $27.08 | Nov 20, 2015 | M | 7,297 | D | — | Dec 31, 2017 | Common Stock | 7,297 | 47,995 | D |
Explanation of responses
- F1Includes 424 previously unreported shares acquired under the American Water Works Company, Inc. Employee Stock Purchase Plan.
- F2The option award granted on February 26, 2010, representing a right to purchase in the aggregate 62,703 shares, vested in three equal installments on January 1, 2011, 2012 and 2013.
- F360,000 shares underlying this stock option were previously exercised and reported.
- F4The option award granted on February 24, 2011 and representing a right to purchase 55,292 shares, vested in three equal installments on January 1, 2012, 2013 and 2014.