SEC Form 4 · accession 0001209191-16-104315
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 29, 2016
Accepted (ET)
Mar 2, 2016 · 2:46 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 29, 2016 | A | 6,639 | $0.00 | A | 143,344 | D | |
| Common StockF3,F4 | Feb 29, 2016 | F | 2,494 | $36.26 | D | 136,705 | D | |
| Common StockF5 | holding | — | — | — | 94,414 | I | By the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 | |
| 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 6,639 shares of common stock that became issuable pursuant to the vesting of Restricted Stock Units ("RSU") upon the attainment of certain performance goal based on return on equity ("ROE") measured over the 2015 calendar year period and continued service by the reporting person through December 31, 2015.
- F2Includes 21,598 shares of the issuer's common stock underlying RSUs, which will vest and become issuable in accordance with their terms, 115,107 shares of the issuer's common stock underlying deferred restricted stock, and 6,639 shares of common stock that became issuable pursuant to the ROE RSUs reported herein.
- F3Represents 2,494 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 ROE RSU reported herein.
- F4Includes 21,598 shares of the issuer's common stock underlying RSUs, which will vest and become issuable in accordance with their terms, 115,107 shares of the issuer's common stock underlying deferred restricted stock, and excludes an aggregate of 4,145 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Trust dated December 17, 2004 immediately following the vesting of the ROE RSUs reported herein.
- F5Includes an aggregate of 4,145 shares of the issuer's common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Trust dated December 17, 2004 immediately following the vesting of the ROE RSUs reported herein.