SEC Form 4 · accession 0001209191-16-100085

American Water Works Company, Inc. · AWK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP and CFO

Period of report

Feb 16, 2016

Accepted (ET)

Feb 18, 2016 · 5:57 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 Stock^F1	Feb 16, 2016	A	1,818	$0.00	A	7,843	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Stock Unit^F2,F3	—	Feb 16, 2016	A	2,311	A	—	Dec 31, 2018	Common Stock	2,311	2,311	D
Employee Stock Option (right to buy)^F4	$65.15	Feb 16, 2016	A	17,974	A	—	Dec 31, 2022	Common Stock	17,974	17,974	D

F1The shares indicated constitute restricted stock units that settle in common stock on a one share per unit basis. The restricted stock units vest in three equal installments on January 1, 2017, 2018 and 2019.
F2Each performance stock unit represents a contingent right to receive one share of common stock of American Water Works Company, Inc. (the "Company"). The actual number of performance stock units that may be earned will be based on the Company's total stockholder return ("TSR"), relative to the performance of the other companies in the Company's peer group (as provided in the award agreement) over a three-year performance period, beginning on January 1, 2016 and ending December 31, 2018. The number of performance stock units shown in column 5 is equal to the target number of performance stock units that may be earned.
F3Represents the end of the performance period to which the performance stock units relate.
F4This option vests in three equal installments on January 1, 2017, 2018 and 2019.