SEC Form 4 · accession 0001209191-16-137920
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark F. Strauss
Officer — SVP,Corp Strategy&Bus. Develop
Period of report
Aug 17, 2016
Accepted (ET)
Aug 19, 2016 · 2:39 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 StockF1 | Aug 17, 2016 | M | 15,467 | $27.08 | A | 47,261 | D | |
| Common StockF2 | Aug 17, 2016 | S | 15,467 | $76.08 | D | 31,794 | 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 | $27.08 | Aug 17, 2016 | M | 15,467 | D | — | Dec 31, 2017 | Common Stock | 15,467 | 0 | D |
Explanation of responses
- F1Includes 67 shares purchased under the American Water Works Company, Inc. Employee Stock Purchase Plan.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.06 to $76.16, inclusive. The reporting person undertakes to provide to American Water Works Company, Inc., any security holder of American Water Works Company, Inc., 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.
- F3The option award granted on February 24, 2011 and representing a right to purchase 15,467 shares vested in three equal installments on January 1, 2012, 2013 and 2014.