SEC Form 4 · accession 0001209191-16-119208
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter Lynch
Officer — EVP and COO
Period of report
May 9, 2016
Accepted (ET)
May 11, 2016 · 5:15 pm EDT
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 | May 9, 2016 | M | 17,995 | $27.08 | A | 102,759 | D | |
| Common StockF1 | May 9, 2016 | S | 17,995 | $74.33 | D | 84,764 | D | |
| Common Stock | May 9, 2016 | M | 10,000 | $34.12 | A | 94,764 | D | |
| Common StockF1 | May 9, 2016 | S | 10,000 | $74.40 | D | 84,764 | D | |
| Common Stodck | May 10, 2016 | M | 10,000 | $34.12 | A | 94,764 | D | |
| Common Stock | May 10, 2016 | S | 10,000 | $74.50 | D | 84,764 | 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 | $27.08 | May 9, 2016 | M | 17,995 | D | — | Dec 31, 2017 | Common Stock | 17,995 | 0 | D |
| Employee Stock Option (right to buy)F4 | $34.12 | May 9, 2016 | M | 10,000 | D | — | Dec 31, 2018 | Common Stock | 10,000 | 36,514 | D |
| Employee Stock Option (right to buy)F4 | $34.12 | May 10, 2016 | M | 10,000 | D | — | Dec 31, 2018 | Common Stock | 10,000 | 26,514 | D |
Explanation of responses
- F1These shares were sold in multiple transactions at prices ranging from $74.30 to $74.44, 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 24, 2011 and representing a right to purchase 55,292 shares, vested in three equal installments on January 1, 2012, 2013 and 2014.
- F3Prior exercises of 37,297 shares in the aggregate were previously reported.
- F4The option award granted on February 23, 2012 and representing a right to purchase 46,514 shares, vested in three equal installments on January 1, 2013, 2014 and 2015.