SEC Form 4 · accession 0000766829-17-000051
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Patrick Lynch
Officer — CFO/Treasurer
Period of report
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 6:22 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 | 1,908 | $0.00 | A | 22,282 | D | |
| Common StockF3,F4 | Feb 28, 2017 | F | 717 | $48.53 | D | 21,565 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,908 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.
- F2Includes 1,665 shares of common stock, 11,877 shares of common stock held by Mr. Lynch and his spouse in joint tenancy, 2,500 shares of common stock held under a Roth IRA, and 6,240 shares of the issuer's common stock underlying restricted stock units.
- F3Represents 717 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.
- F4Includes 1,665 shares of common stock, 13,068 shares of common stock held by Mr. Lynch and his spouse in joint tenancy, 2,500 shares of common stock held under a Roth IRA, and 4,332 shares of the issuer's common stock underlying restricted stock units.