SEC Form 4 · accession 0001209191-16-107472

American Water Works Company, Inc. · AWK

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

Reporting owner

Officer — VP and Treasurer

Period of report

Mar 8, 2016

Accepted (ET)

Mar 9, 2016 · 7:33 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
Common Stock	Mar 8, 2016	M	692	$39.45	A	2,630	D
Common Stock^F1	Mar 8, 2016	S	692	$68.37	D	1,937	D
Common Stock	Mar 8, 2016	M	1,642	$44.06	A	3,579	D
Common Stock^F1	Mar 8, 2016	S	1,642	$68.37	D	1,937	D

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	$39.45	Mar 8, 2016	M	692	D	—	Dec 31, 2019	Common Stock	692	0	D
Employee Stock Option (right to buy)^F4	$44.06	Mar 8, 2016	M	1,642	D	—	Dec 31, 2020	Common Stock	1,642	822	D

F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.36 to $68.37, inclusive. The reporting person undertakes to provide to American Water Works Company, Inc., any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
F2The option award granted on February 21, 2013, representing a right to purchase 2,075 shares, vested in three equal installments on January 1, 2014, 2015 and 2016.
F3A prior exercise of 1,383 shares underlying this option was previously reported.
F4The option award granted on February 20, 2014, representing a right to purchase 2,464 shares, vests in three equal installments on January 1, 2015, 2016 and 2017.