SEC Form 4 · accession 0001410636-17-000019
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A Sgro
Officer — EVP,General Counsel, Secretary
Period of report
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 4:33 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 StockF1 | Nov 7, 2017 | M | 841 | $44.06 | A | 5,872 | D | |
| Common Stock | Nov 7, 2017 | S | 841 | $90.03 | D | 5,031 | 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 | $44.06 | Nov 7, 2017 | M | 841 | D | — | Dec 31, 2020 | Common Stock | 841 | 0 | D |
Explanation of responses
- F1Includes (i) 26 shares acquired pursuant to the automatic reinvestment in shares of common stock of American Water Works Company, Inc. (the "Company") of cash dividends paid on Company common stock to the reporting person, and (ii) 9 shares acquired by the reporting person under the Company's Nonqualified Employee Stock Purchase Plan, each since the reporting person's last Form 4 report.
- F2The option award granted on February 20, 2014 and representing a right to purchase 2,522 shares, vested in three equal installments on January 1, 2015, January 1, 2016 and January 1, 2017.
- F3Prior exercises of 1,681 shares underlying this option were previously reported.