SEC Form 4 · accession 0000766829-19-000071
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzy Papazian
Officer — Gen. Counsel/Corp. Secretary
Period of report
Feb 28, 2019
Accepted (ET)
Mar 1, 2019 · 7:02 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 | G | 247 | $0.00 | D | 8,371 | D | |
| Common StockF1,F3 | Jan 2, 2019 | G | 247 | $0.00 | A | 5,773 | I | By the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 |
| Common StockF4,F5 | Jan 3, 2019 | G | 228 | $0.00 | D | 8,143 | D | |
| Common StockF4,F6 | Jan 3, 2019 | G | 228 | $0.00 | A | 6,001 | I | By the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 |
| Common StockF7,F8 | Jan 4, 2019 | G | 470 | $0.00 | D | 7,673 | D | |
| Common StockF7,F9 | Jan 4, 2019 | G | 470 | $0.00 | A | 6,471 | I | By the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 |
| Common StockF10,F11 | Feb 28, 2019 | F | 418 | $61.17 | D | 7,255 | D | |
| Common StockF12,F13 | Feb 28, 2019 | G | 792 | $0.00 | D | 6,463 | D | |
| Common StockF12,F14 | Feb 28, 2019 | G | 792 | $0.00 | A | 7,263 | I | By the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents an aggregate of 247 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the restricted stock units ("RSU") described in footnote 3 of the Form 4 filed on January 3, 2019.
- F10Represents 418 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") RSUs reported on the Form 4 filed on February 26, 2019.
- F11Represents 4,683 shares of the issuer's common stock and 2,572 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F12Represents an aggregate of 792 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 10 above.
- F13Represents 3,891 shares of the issuer's common stock and 2,572 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F14Includes an aggregate of 792 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 10 above.
- F2Represents 4,589 shares of the issuer's common stock and 3,782 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F3Includes an aggregate of 247 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 3 of the Form 4 filed on January 3, 2019.
- F4Represents an aggregate of 228 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 4, 2019.
- F5Represents 4,361 shares of the issuer's common stock and 3,782 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F6Includes an aggregate of 228 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 4, 2019.
- F7Represents an aggregate of 470 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 7, 2019.
- F8Represents 3,891 shares of the issuer's common stock and 3,782 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms.
- F9Includes an aggregate of 470 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 7, 2019.