SEC Form 4 · accession 0001410636-18-000157
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
Sep 5, 2018
Accepted (ET)
Sep 6, 2018 · 11:04 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 | Sep 5, 2018 | M | 10,000 | $44.06 | A | 112,031 | D | |
| Common StockF1 | Sep 5, 2018 | S | 10,000 | $89.57 | D | 102,031 | 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 | Sep 5, 2018 | M | 10,000 | D | — | Dec 31, 2020 | Common Stock | 10,000 | 13,545 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.44 to $89.75, 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 option award granted on February 20, 2014 and representing a right to purchase 28,545 shares vested in three equal installments on January 1, 2015, January 1, 2016 and January 1, 2017.
- F3A prior exercise of 5,000 shares underlying this option was previously reported.