SEC Form 4 · accession 0000766829-18-000080
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Richard Roth
Director
Period of report
Feb 28, 2018
Accepted (ET)
Mar 1, 2018 · 7:26 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, 2018 | F | 23,040 | $52.94 | D | 136,629 | D | |
| Common StockF3,F4 | Feb 28, 2018 | G | 23,433 | $0.00 | D | 113,196 | D | |
| Common StockF3,F5 | Feb 28, 2018 | G | 23,433 | $0.00 | A | 138,688 | 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 an aggregate 23,040 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 return on equity ("ROE") restricted stock unit ("RSU") and total shareholder return ("TSR") RSU reported on the Form 4 filed on February 27, 2018.
- F2Includes 23,433 shares of issuer's common stock, 7,000 shares of common stock underlying RSUs which vested in accordance with their terms, and 106,196 shares of the issuer's common stock underlying deferred restricted stock.
- F3Represents an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above.
- F4Includes 7,000 shares of common stock underlying RSUs which vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock.
- F5Includes an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above.