SEC Form 4 · accession 0000766829-17-000056
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Richard Roth
Officer — President & CEO · Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 3:27 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 | 6,639 | $0.00 | A | 136,660 | D | |
| Common StockF3,F4 | Feb 28, 2017 | F | 2,494 | $48.53 | D | 134,166 | D | |
| Common StockF5,F6 | Feb 28, 2017 | G | 4,145 | $0.00 | D | 130,021 | D | |
| Common StockF5,F7 | Feb 28, 2017 | G | 4,145 | $0.00 | A | 103,992 | I | By the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 |
| Common Stock | holding | — | — | — | 18,300 | I | By Separate Property Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 6,639 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 19,330 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock.
- F3Represents 2,494 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 4,145 shares of the issuer's common stock, 12,691 shares of common stock underlying RSUs which will vest and become issuable in accordance with their terms, and 117,330 shares of the issuer's common stock underlying deferred restricted stock.
- F5Represents an aggregate of 4,145 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of the ROE RSU described in footnote 1 above.
- F6Includes 12,691 shares of common stock underlying RSUs, which will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock.
- F7Includes an aggregate of 4,145 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of the ROE RSU described in footnote 1 above.