SEC Form 4 · accession 0001209191-17-018544
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
Mar 2, 2017
Accepted (ET)
Mar 7, 2017 · 8:03 am 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 StockF1 | Mar 2, 2017 | M | 10,000 | $39.45 | A | 106,002 | D | |
| Common Stock | Mar 2, 2017 | S | 10,000 | $78.00 | D | 96,002 | 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 | $39.45 | Mar 2, 2017 | M | 10,000 | D | — | Dec 31, 2019 | Common Stock | 10,000 | 15,169 | D |
Explanation of responses
- F1Includes 58 shares purchased under the American Water Works Company, Inc. Employee Stock Purchase Plan since the reporting person's last Form 4.
- F2The option award granted on February 21, 2013 and representing a right to purchase 25,169 shares vested in three equal installments on January 1, 2014, 2015 and 2016.