SEC Form 4 · accession 0001209191-15-037571
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George E Moss
Director · 10% Owner
Period of report
Apr 29, 2015
Accepted (ET)
Apr 30, 2015 · 6:32 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 | Apr 29, 2015 | A | 1,169 | $0.00 | A | 1,073,023 | D | |
| Common StockF3 | holding | — | — | — | 811,059 | I | By John Kimberly Moss Trust | |
| Common Stock | holding | — | — | — | 6,644 | I | By spouse's revocable trust | |
| Commion Stock | holding | — | — | — | 830 | I | By spouse's IRA | |
| Common Stock | holding | — | — | — | 1,103 | I | By spouse's Roth IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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.
- F2Represents 1,071,854 shares of common stock held by the George Edward Moss Trust, a living trust of which the reporting person is the sole trustee and the sole beneficiary and 1,169 shares of the Issuer's common stock underlying restricted stock units.
- F3These shares represent 811,059 shares of common stock held by the John Kimberly Moss Trust, for which the reporting person is the trustee. The reporting person disclaims beneficial ownership in such shares except to the extent of his pecuniary interest therein.