SEC Form 4 · accession 0001209191-16-100247
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A Sgro
Officer — EVP,General Counsel, Secretary
Period of report
Feb 16, 2016
Accepted (ET)
Feb 18, 2016 · 8:13 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 | Feb 16, 2016 | A | 1,197 | $0.00 | A | 3,876 | 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 | $65.15 | Feb 16, 2016 | A | 11,836 | A | — | Dec 31, 2022 | Common Stock | 11,836 | 11,836 | D |
Explanation of responses
- 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.
- F2This option vests in three equal installments on January 1, 2017, 2018 and 2019.