SEC Form 4 · accession 0001209191-15-037563
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark L Cali
Director
Period of report
Jan 26, 2015
Accepted (ET)
Apr 30, 2015 · 6:18 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 | Jan 26, 2015 | G | 5,080 | $0.00 | D | 16,521 | D | |
| Common StockF1 | Jan 26, 2015 | G | 5,080 | $0.00 | A | 31,847 | I | By the Mark Cali Revocable Trust |
| Common StockF3,F4 | Apr 29, 2015 | A | 1,169 | $0.00 | A | 17,690 | D | |
| Common StockF1,F5 | Apr 29, 2015 | G | 1,286 | $0.00 | D | 16,404 | D | |
| Common StockF1 | Apr 29, 2015 | G | 1,286 | $0.00 | A | 33,133 | I | By the Mark Cali Revocable Trust |
| Common Stock | holding | — | — | — | 26,700 | I | By spouse's Revocable Trust | |
| Common Stock | holding | — | — | — | 71,498 | I | By the Cali Family Gift Trust | |
| Common Stock | holding | — | — | — | 170,096 | I | By the Cali 1994 Living Trust | |
| Common Stock | holding | — | — | — | 1,200 | I | By spouse's IRA | |
| Common Stock | holding | — | — | — | 288 | I | By Clark Cali |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of the issuer's common stock issued in the name of The Mark Cali Revocable Trust upon settlement of restricted stock units previously reported by the reporting person in Table I as direclty owned.
- F2Includes 15,235 shares of deferred stock which will be distributed as actual shares of the issuer's common stock at a specified time and 1,286 shares of the issuer's common stock underlying restricted stock units.
- F3Represents 1,169 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 2016 annual shareholders meeting, subject to accelerated vesting under certain prescribed circumstances.
- F4Includes 15,235 shares of deferred stock which will be distributed as actual shares of the issuer's common stock at a specified time and 2,455 shares of the issuer's common stock underlying restricted stock units.
- F5Includes 15,235 shares of deferred stock which will be distributed as actual shares of the issuer's common stock at a specified time and 1,169 shares of the issuer's common stock underlying restricted stock units.