SEC Form 4 · accession 0000766829-17-000076
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George E Moss
Director
Period of report
Apr 26, 2017
Accepted (ET)
Apr 27, 2017 · 7:42 pm EDT
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 | Apr 26, 2017 | A | 1,155 | $0.00 | A | 1,085,135 | D | |
| Common StockF3 | holding | — | — | — | 811,059 | I | By John Kimberly Moss Trust | |
| Common Stock | holding | — | — | — | 6,644 | I | By spouse's revocable trust | |
| Common Stock | holding | — | — | — | 830 | I | By spouse's IRA | |
| Common Stock | holding | — | — | — | 1,103 | I | By spouse's Roth IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,155 restricted stock units granted to the reporting person under the Issuer's Long-Term Incentive Plan. Each restricted stock unit will entitle the reporting person to receive one share of the Issuer's common stock when that unit vests. The units will vest in full upon the reporting person's continuation in Board service through the day immediately preceding the date of the Issuer's 2018 annual stockholders meeting, subject to accelerated vesting under certain prescribed circumstances.
- F2Represents 1,083,980 shares of common stock held by the George Edward Moss Trust, a living trust of which the reporting person is the sole trustee and 1,155 shares of the issuer's common stock underlying restricted stock units.
- F3These shares represent 811,059 shares of common stock held by the John Kimberly Moss Trust, for which the reporting person is the trustee. The reporting person disclaims beneficial ownership in such shares except to the extent of his pecuniary interest therein.