SEC Form 4 · accession 0001209191-16-104324
H2O AMERICA · HTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Patrick Lynch
Officer — CFO/Treasurer
Period of report
Feb 29, 2016
Accepted (ET)
Mar 2, 2016 · 2:54 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 | 1,794 | $0.00 | A | 21,804 | D | |
| Common StockF3,F4 | Feb 29, 2016 | F | 674 | $36.26 | D | 21,130 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,794 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.
- F2Represents 13,132 shares of the issuer's common stock, 2,500 shares of the issuer's common stock held under a Roth IRA account, and 6,172 shares of the issuer's common stock underlying restricted stock units.
- F3Represents 674 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.
- F4Represents 12,458 shares of the issuer's common stock, 2,500 shares of the issuer's common stock held under a Roth IRA account, and 6,172 shares of the issuer's common stock underlying restricted stock units.