SEC Form 4 · accession 0001209191-16-137921
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
Aug 17, 2016
Accepted (ET)
Aug 19, 2016 · 2:40 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 | 10,000 | $34.12 | A | 94,875 | D | |
| Common Stock | Aug 17, 2016 | S | 10,000 | $76.00 | D | 84,875 | 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 | $34.12 | Aug 17, 2016 | M | 10,000 | D | — | Dec 31, 2018 | Common Stock | 10,000 | 6,514 | D |
Explanation of responses
- F1Includes 111 shares purchased under the American Water Works Company, Inc. Employee Stock Purchase Plan.
- F2The 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.
- F3Prior exercises of 30,000 shares underlying this option were previously reported.