SEC Form 4 · accession 0000766829-19-000004
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew F Walters
Officer — Chief Administrative Officer
Period of report
Jan 2, 2019
Accepted (ET)
Jan 3, 2019 · 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 | Jan 2, 2019 | A | 1,352 | $0.00 | A | 13,034 | D | |
| Common StockF3,F4 | Jan 2, 2019 | F | 158 | $54.74 | D | 12,876 | D | |
| Common Stock | holding | — | — | — | 100 | I | Held by Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,352 shares of the issuer's common stock underlying 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 three successive annual installments upon the reporting person's completion of each year of service with the issuer over the three-year period measured from the date of grant, subject to accelerated vesting under certain prescribed circumstances.
- F2Represents 8,765 shares of the issuer's common stock and 4,269 shares of the issuer's common stock underlying restricted stock units which will vest and become issuable in accordance with their terms.
- F3Represents 158 shares of common stock withheld of the issuer in satisfaction of the applicable withholding taxes on certain shares of common stock that became issuable on January 2, 2019 pursuant to the terms of the January 2, 2018 Restricted Stock Unit Issuance Agreement between the reporting person and the issuer. 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.
- F4Represents 8,995 shares of the issuer's common stock and 3,881 shares of the issuer's common stock underlying restricted stock units which will vest and become issuable in accordance with their terms.