SEC Form 4 · accession 0001410636-18-000134
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Loyd A Warnock
Officer — SVP, Ext. Affairs, Bus. Dev.
Period of report
May 24, 2018
Accepted (ET)
May 25, 2018 · 6:01 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 Stock | May 24, 2018 | M | 2,870 | $46.45 | A | 14,410 | D | |
| Common Stock | May 24, 2018 | S | 2,870 | $81.45 | D | 11,540 | 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,F1 | $46.45 | May 24, 2018 | M | 2,870 | D | — | Dec 31, 2020 | Common Stock | 2,870 | 2,594 | D |
Explanation of responses
- F1The option award granted on April 28, 2014, representing a right to purchase 12,273 shares of common stock, vested in three equal installments on January 1, 2015, 2016 and 2017.
- F2Prior exercises of 6,809 shares of common stock underlying this option were previously reported.