SEC Form 4 · accession 0001209191-17-016929
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
Mar 2, 2017
Accepted (ET)
Mar 2, 2017 · 6:31 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 2, 2017 | M | 13,011 | $34.12 | A | 48,135 | D | |
| Common StockF1 | Mar 2, 2017 | S | 13,011 | $77.57 | D | 35,124 | 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 | $34.12 | Mar 2, 2017 | M | 13,011 | D | — | Dec 31, 2018 | Common Stock | 13,011 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.57 to $77.60, 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.
- F2The option award granted on February 23, 2012 and representing a right to purchase 13,011 shares vested in three equal installments on January 1, 2013, 2014 and 2015.