SEC Form 4 · accession 0001410636-18-000152
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
Aug 30, 2018
Accepted (ET)
Sep 4, 2018 · 9:46 am 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 | Aug 30, 2018 | M | 782 | $65.15 | A | 12,322 | D | |
| Common Stock | Aug 30, 2018 | M | 5,245 | $52.75 | A | 17,567 | D | |
| Common StockF1 | Aug 30, 2018 | S | 6,027 | $88.04 | D | 11,540 | D | |
| Common Stock | Aug 31, 2018 | M | 4,493 | $65.15 | A | 16,033 | D | |
| Common StockF2 | Aug 31, 2018 | S | 4,493 | $87.63 | 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)F3 | $65.15 | Aug 30, 2018 | M | 782 | D | — | Dec 31, 2022 | Common Stock | 782 | 9,326 | D |
| Employee Stock Option (right to buy)F5,F4 | $52.75 | Aug 30, 2018 | M | 5,245 | D | — | Dec 31, 2021 | Common Stock | 5,245 | 2,075 | D |
| Employee Stock Option (right to buy)F3 | $65.15 | Aug 31, 2018 | M | 4,493 | D | — | Dec 31, 2022 | Common Stock | 4,493 | 4,833 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.00 to $88.09, inclusive. The report person undertakes to provide to American Water Works Company, Inc., any security holder thereof, 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 ranges set forth above.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.50 to $87.875, inclusive. The report person undertakes to provide to American Water Works Company, Inc., any security holder thereof, 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 ranges set forth above.
- F3This option award granted on February 16, 2016, representing a right to purchase 10,108 shares, vests in three equal installments on January 1, 2017, 2018 and 2019.
- F4The option award granted on February 17, 2015, representing a right to purchase 10,435 shares, vested in three equal installments on January 1, 2016, 2017 and 2018.
- F5A prior exercise of 3,115 shares underlying this option was previously reported.