SEC Form 4 · accession 0000766829-17-000030
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew F Walters
Officer — Chief Administrative Officer
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 5:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000766829
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 31, 2017 | J | 336 | $42.59 | A | 9,361 | D | |
| Common StockF3,F4 | Jan 31, 2017 | F | 473 | $50.10 | D | 8,888 | D | |
| Common Stock | holding | — | — | — | 100 | I | Held by Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired on a transaction exempt from Section 16(b) of the Securities Exchange Act under the SJW Group 2014 Employee Stock Purchase Plan.
- F2Represents 4,176 shares of the issuer's common stock and 5,185 shares of the issuer's common stock underlying restricted stock units.
- F3Represents 473 shares of common stock of the issuer withheld by the issuer in satisfaction of the applicable withholding taxes on certain shares of common stock that became issuable on January 31, 2017 pursuant to the terms of the January 31, 2014 Restricted Stock Issuance Agreement between the reporting person and the issuer. The issuable shares were previously reported as Table I securities at the time the restricted stock units were granted, and accordingly the issuance of those shares is not a reportable transaction on this Form 4.
- F4Represents 4,985 shares of the issuer's common stock and 3,903 shares of the issuer's common stock underlying restricted stock units.