SEC Form 4 · accession 0000766829-19-000046

H2O AMERICA · HTO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Wendy Avila-Walker

Officer — VP of Finance, Controller

Period of report

Sep 13, 2016

Accepted (ET)

Feb 14, 2019 · 12:57 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
Common Stock^F1	Sep 13, 2016	S	321	$42.57	D	1,030	D
Common Stock^F2,F3	Jan 3, 2017	F	75	$55.14	D	955	D
Common Stock^F4,F5	Jan 3, 2017	F	68	$55.14	D	887	D
Common Stock^F6,F7	Jan 3, 2017	A	291	$0.00	A	1,178	D
Common Stock^F8,F9	Jan 4, 2017	F	79	$55.30	D	1,099	D
Common Stock^F10	Jun 14, 2017	S	288	$52.41	D	1,083	D
Common Stock^F11	Jun 29, 2017	S	272	$52.31	D	811	D
Common Stock^F12,F13	Jan 2, 2018	F	68	$63.47	D	1,012	D
Common Stock^F14,F15	Jan 2, 2018	A	300	$0.00	A	1,312	D
Common Stock^F16,F17	Jan 3, 2018	F	42	$62.87	D	1,270	D
Common Stock^F8,F18	Jan 4, 2018	F	79	$61.82	D	1,191	D
Common Stock^F19,F20	Apr 25, 2018	A	352	$0.00	A	1,781	D
Common Stock^F21,F22	Jan 2, 2019	A	1,151	$0.00	A	3,131	D
Common Stock^F23,F24	Jan 2, 2019	F	40	$54.74	D	3,091	D
Common Stock^F25,F26	Jan 3, 2019	F	39	$55.05	D	3,052	D
Common Stock^F27,F28	Jan 4, 2019	F	74	$56.83	D	2,978	D
Common Stock^F29,F30	Jan 31, 2019	J	245	$50.96	A	3,223	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Represents the total securities beneficially owned by the Reporting Person as a result of various transactions occurred prior to September 13, 2016, which transactions consist of grants of restricted stock units ("RSUs"), issuance of shares under the Issuer's Employee Stock Purchase Plan (the "ESPP"), holdback of shares upon vesting of RSUs as payment for withholding taxes, and open market sales.
F10Includes 272 shares of the Issuer's common stock issued on January 31, 2017 to the Reporting person pursuant to the ESPP and 811 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms.
F11Includes 811 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms.
F12Represents 68 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 RSUs granted on January 2, 2015.
F13Includes 357 shares of the Issuer's common stock (including 269 shares of the Issuer's common stock issued on July 31, 2017 to the Reporting person pursuant to the ESPP) and 655 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms.
F14Represents 300 shares of the common stock underlying RSUs granted to the Reporting Person under the Issuer's Long-Term Incentive Plan. Each RSU entitles the reporting person to receive one share of common stock upon vesting of the RSU. The RSUs will vest in three annual successive installments upon the completion of the Reporting Person's each year of services with the Issuer for the three-year period measured from the date of grant, subject to accelerated vesting under certain prescribed circumstances.
F15Includes 955 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 357 shares of the Issuer's common stock.
F16Represents 42 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 RSUs granted on January 3, 2017.
F17Includes 858 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 412 shares of the Issuer's common stock.
F18Includes 676 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 515 shares of the Issuer's common stock.
F19Represents 352 shares of the common stock underlying RSUs granted to the Reporting Person under the Issuer's Long-Term Incentive Plan. Each RSU entitles the reporting person to receive one share of common stock upon vesting of the RSU. The RSUs will vest in three annual successive installments upon the completion of the Reporting Person's each year of services with the Issuer for the three-year period measured from the date of grant, subject to accelerated vesting under certain prescribed circumstances.
F2Represents 75 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 RSUs granted on January 2, 2014.
F20Includes 753 shares of the Issuer's common stock (including 238 shares of the Issuer's common stock issued on January 31, 2018 to the Reporting person pursuant to the ESPP) and 1,028 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms.
F21Represents 1,151 shares of the common stock underlying RSUs granted to the Reporting Person under the Issuer's Long-Term Incentive Plan. Each RSU entitles the reporting person to receive one share of common stock upon vesting of the RSU. The RSUs will vest in three annual successive installments upon the completion of the Reporting Person's each year of services with the Issuer for the three-year period measured from the date of grant, subject to accelerated vesting under certain prescribed circumstances.
F22Includes 952 shares of the Issuer's common stock (including 199 shares of the Issuer's common stock issued on July 31, 2018 to the Reporting person pursuant to the ESPP) and 2,179 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms.
F23Represents 40 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 RSUs granted on January 2, 2018.
F24Includes 2,079 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 1,012 shares of the Issuer's common stock.
F25Represents 39 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 RSUs granted on January 3, 2017.
F26Includes 1,982 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 1,070 shares of the Issuer's common stock.
F27Represents 74 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 RSUs granted on January 4, 2016.
F28Includes 1,800 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 1,178 shares of the Issuer's common stock.
F29Shares acquired in a transaction exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, under the ESPP.
F3Includes 857 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 98 shares of the Issuer's common stock.
F30Includes 1,800 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 1,423 shares of the Issuer's common stock.
F4Represents 68 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 RSUs granted on January 2, 2015.
F5Includes 701 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 186 shares of the Issuer's common stock.
F6Represents 291 shares of the common stock underlying RSUs granted to the Reporting Person under the Issuer's Long-Term Incentive Plan. Each RSU entitles the reporting person to receive one share of common stock upon vesting of the RSU. The RSUs will vest in three annual successive installments upon the completion of the Reporting Person's each year of services with the Issuer for the three-year period measured from the date of grant, subject to accelerated vesting under certain prescribed circumstances.
F7Includes 992 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 186 shares of the Issuer's common stock.
F8Represents 79 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 RSUs granted on January 4, 2016.
F9Includes 811 shares of the Issuer's common stock underlying RSU that will vest and become issuable in accordance with their terms and 288 shares of the Issuer's common stock.