Filing Details
- Accession Number:
- 0001181431-12-045545
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-14 19:23:25
- Reporting Period:
- 2012-08-10
- Filing Date:
- 2012-08-14
- Accepted Time:
- 2012-08-14 19:23:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1056903 | American States Water Co | AWR | Water Supply (4941) | 954676679 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1490710 | Jimmy Cheung | 1156 W. Duarte Rd #11 Arcadia CA 91007 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Acquisiton | 2011-01-31 | 175 | $34.00 | 175 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-03-01 | 1 | $33.10 | 176 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-06-01 | 1 | $34.19 | 178 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-09-01 | 1 | $35.03 | 179 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-12-01 | 1 | $35.36 | 181 | No | 4 | A | Direct | |
| Common Shares | Disposition | 2012-01-31 | 25 | $35.41 | 156 | No | 4 | F | Direct | |
| Common Shares | Acquisiton | 2012-02-15 | 169 | $36.63 | 325 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2012-03-01 | 1 | $36.38 | 326 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2012-06-01 | 2 | $36.61 | 328 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2012-08-10 | 750 | $34.11 | 1,078 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2012-08-10 | 750 | $44.00 | 1,578 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2012-08-10 | 500 | $34.57 | 828 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2012-08-10 | 500 | $44.00 | 328 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Employee Stock Options (Right to Buy) | Acquisiton | 2008-01-28 | 750 | $0.00 | 750 | $34.11 |
| Common Shares | Employee Stock Options (Right to Buy) | Acquisiton | 2009-01-30 | 1,000 | $0.00 | 1,000 | $34.57 |
| Common Shares | Employee Stock Options (Right to Buy) | Acquisiton | 2010-02-01 | 900 | $0.00 | 900 | $33.36 |
| Common Shares | Employee Stock Options (Right to Buy) | Disposition | 2012-08-10 | 750 | $0.00 | 750 | $34.11 |
| Common Shares | Employee Stock Options (Right to Buy) | Disposition | 2012-08-10 | 500 | $0.00 | 500 | $34.57 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-01-27 | 2018-01-27 | No | 4 | A | Direct |
| 0 | 2010-01-29 | 2019-01-29 | No | 4 | A | Direct |
| 0 | 2011-01-31 | 2020-01-31 | No | 4 | A | Direct |
| 0 | 2009-01-27 | 2018-01-27 | No | 4 | M | Direct |
| 0 | 2010-01-29 | 2019-01-29 | No | 4 | M | Direct |
Footnotes
- RSU's awarded on 1/31/2011
- DER units credited on 3/1/2011 as dividend at FMV
- DER units credited on 6/1/2011 as dividend at FMV
- DER units credited on 9/1/2011 as dividend at FMV
- DER units credited on 12/1/2011 as dividend at FMV
- RSU's awarded on 2/15/2012
- DER units credited on 3/1/2012 as dividend at FMV
- DER units credited on 6/1/2012 as dividend at FMV
- 24.7091 shares withheld to satisfy tax withholding of previously granted RSU's
Billionaire Hedge Funds
