SEC Form 4 · accession 0000766829-18-000102
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katharine Armstrong
Director
Period of report
Apr 25, 2018
Accepted (ET)
Apr 27, 2018 · 12:21 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 25, 2018 | A | 1,055 | $0.00 | A | 5,760 | D | |
| Common StockF3,F4 | Apr 25, 2018 | G | 1,155 | $0.00 | D | 4,605 | D | |
| Common StockF3 | Apr 25, 2018 | G | 1,155 | $0.00 | A | 5,948 | I | By Katharine Armstrong as Trustee for the Katharine Armstrong Love Exempt Trust U/A/D 6/30/2009 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,055 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 2019 annual stockholders meeting, subject to accelerated vesting under certain prescribed circumstances.
- F2Includes 2,550 shares of the issuer's common stock, 2,210 shares of the issuer's common stock underlying restricted stock units, and 1,000 shares of the issuer's common stock held in an IRA account.
- F3Represents shares of the issuer's common stock issued in the name of Katharine Armstrong as trustee for the Katharine Armstrong Love Exempt Trust U/A/D 6/30/2009 upon settlement of restricted stock units previously reported by the reporting person in Table I as directly owned.
- F4Includes 2,550 shares of the issuer's common stock, 1,055 shares of the issuer's common stock underlying restricted stock units, and 1,000 shares of the issuer's common stock held in an IRA account.