SEC Form 4 · accession 0001209191-16-106769
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
Mar 4, 2016
Accepted (ET)
Mar 7, 2016 · 7:12 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 | Mar 4, 2016 | M | 742 | $39.45 | A | 4,618 | D | |
| Common Stock | Mar 4, 2016 | S | 742 | $67.50 | D | 3,876 | D | |
| Common Stock | Mar 4, 2016 | M | 1,097 | $44.06 | A | 4,973 | D | |
| Common Stock | Mar 4, 2016 | S | 1,097 | $67.50 | D | 3,876 | D | |
| Common Stock | Mar 4, 2016 | S | 1,169 | $67.44 | D | 2,707 | 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,F1 | $39.45 | Mar 4, 2016 | M | 742 | D | — | Dec 31, 2019 | Common Stock | 742 | 0 | D |
| Employee Stock Option (right to buy)F4,F3 | $44.06 | Mar 4, 2016 | M | 1,097 | D | — | Dec 31, 2020 | Common Stock | 1,097 | 841 | D |
Explanation of responses
- F1The option award granted on February 21, 2013, representing a right to purchase 2,225 shares, vested in three equal installments on January 1, 2014, 2015 and 2016.
- F2Prior exercises of 1,483 shares underlying this option were previously reported.
- F3The option award granted on February 20, 2014, representing a right to purchase 2,522 shares, vests in three equal installments on January 1, 2015, 2016 and 2017.
- F4A prior exercise of 584 shares underlying this option was previously reported.