SEC Form 3 · accession 0001410636-19-000060
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Merante
Officer — Vice President and Treasurer
Period of report
Feb 15, 2019
Accepted (ET)
Feb 19, 2019 · 5:14 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 | holding | — | — | — | 741 | 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 | $65.15 | holding | — | — | — | — | Dec 31, 2022 | Common Stock | 151 | — | D |
Explanation of responses
- F1570 of the shares indicated are restricted stock units issued under the American Water Works Company, Inc. ("American Water") 2017 Omnibus Equity Compensation Plan (the "Plan"), and its predecessor plan, which settle solely in shares of American Water common stock on a one share per unit basis. The restricted stock units vest on the first, second and third anniversaries of the date of grant.
- F2This option was issued under the Plan and vested in three equal installments on January 1, 2017, 2018 and 2019.