SEC Form 4 · accession 0000766829-18-000068
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Richard Roth
Director
Period of report
Feb 26, 2018
Accepted (ET)
Feb 27, 2018 · 7:13 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 26, 2018 | A | 6,639 | $0.00 | A | 119,835 | D | |
| Common StockF3,F4 | Feb 26, 2018 | A | 39,834 | $0.00 | A | 159,669 | D | |
| Common Stock | holding | — | — | — | 115,255 | 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 subject to Restricted Stock Units ("RSU") that vested upon the attainment of certain performance goal based on return on equity ("ROE") measured over the 2017 calendar year period and continued service by the reporting person through December 31, 2017.
- F2Includes 13,639 shares of common stock underlying RSUs that vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock.
- F3Represents 39,834 shares of common stock subject to RSUs that vested upon the attainment of certain performance goal based on total shareholder return ("TSR") measured from August 4, 2014 until December 31, 2017 and continued service by the reporting person until December 31, 2017.
- F4Includes 53,473 shares of common stock underlying RSUs that vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock.