SEC Form 4 · accession 0000766829-18-000032
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
Jan 4, 2018
Accepted (ET)
Jan 5, 2018 · 6:18 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 4, 2018 | F | 348 | $61.82 | D | 6,613 | D | |
| Common StockF3,F4 | Jan 4, 2018 | G | 446 | $0.00 | D | 6,167 | D | |
| Common StockF3,F5 | Jan 4, 2018 | G | 446 | $0.00 | A | 4,793 | 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 348 shares of common stock withheld by the issuer to satisfy the reporting person's tax withholding obligations with respect to an aggregate of 794 shares of common stock underlying restricted stock units ("RSUs") that vested and became issuable on January 4, 2018 pursuant to the terms of the January 4, 2016 Restricted Stock Issuance Agreement between the issuer and the reporting person. 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.
- F2Represents 3,798 shares of the issuer's common stock and 2,815 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F3Represents an aggregate of 446 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with issuance of shares of common stock underlying the RSUs described in footnote 1 above.
- F4Represents 3,352 shares of the issuer's common stock and 2,815 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F5Includes an aggregate of 446 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with issuance of shares of common stock underlying the RSUs described in footnote 1 above.