SEC Form 4 · accession 0000766829-17-000045
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzy Papazian
Officer — Gen. Counsel/Corp. Secretary
Period of report
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 6:06 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 | Feb 28, 2017 | A | 1,488 | $0.00 | A | 7,639 | D | |
| Common StockF3,F4 | Feb 28, 2017 | F | 548 | $48.53 | D | 7,091 | D | |
| Common StockF5,F6 | Feb 28, 2017 | G | 940 | $0.00 | D | 6,151 | D | |
| Common StockF5,F7 | Feb 28, 2017 | G | 940 | $0.00 | A | 3,985 | I | By the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,488 shares of common stock that became issuable pursuant to the vesting of Restricted Stock Units ("RSU") upon the attainment of certain performance goal based on return on equity ("ROE") measured over the 2016 calendar year period and continued service by the reporting person through December 31, 2016.
- F2Represents 3,151 shares of the issuer's common stock and 4,488 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F3Represents 548 shares of common stock withheld by the issuer in satisfaction of the applicable withholding taxes on shares of common stock that became issuable pursuant to the vesting of the ROE RSU reported herein.
- F4Represents 4,091 shares of the issuer's common stock and 3,000 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F5Represents an aggregate of 940 shares of common stock that were issued and transferred to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 immediately following the vesting of the ROE RSU described in footnote 1 above.
- F6Represents 3,151 shares of the issuer's common stock and 3,000 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F7Includes an aggregate of 940 shares of common stock that were issued and transferred to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 immediately following the vesting of the ROE RSU described in footnote 1 above.