SEC Form 4 · accession 0001209191-15-009052
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Richard Roth
Officer — President & CEO · Director
Period of report
Feb 2, 2015
Accepted (ET)
Feb 3, 2015 · 5:58 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 2, 2015 | F | 16,546 | $34.05 | D | 228,803 | D | |
| 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 16,546 shares of common stock of the issuer withheld by the issuer in satisfaction of the applicable withholding taxes on certain shares of common stock that became issuable on February 2, 2015 pursuant to the terms of the January 26, 2010 Restricted Stock Unit Issuance Agreement between the reporting person and the issuer since the performance objective was attained. 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.
- F2Includes 83,022 shares of issuer's common stock. Also includes 33,561 shares of the issuer's common stock underlying restricted stock units, and 112,220 shares of the issuer's common stock underlying deferred restricted stock, which may be subject in whole or in part to vesting schedules tied to Mr. Roth's continued service with the issuer and which will be issued as actual shares of common stock of the issuer either at the time of vesting or at a specified time thereafter (including termination of service with the issuer).