Filing Details
- Accession Number:
- 0001181431-13-028010
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-15 17:32:08
- Reporting Period:
- 2013-05-13
- Filing Date:
- 2013-05-15
- Accepted Time:
- 2013-05-15 17:32:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1410636 | American Water Works Company Inc. | AWK | Water Supply (4941) | 510063696 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1390816 | L Kathy Pape | 1025 Laurel Oak Road Voorhees NJ 08043 | President, Pa American Water | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-05-13 | 221 | $21.50 | 19,935 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-13 | 358 | $21.50 | 20,293 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-13 | 2,285 | $20.70 | 22,578 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-13 | 14,449 | $22.31 | 37,027 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-13 | 8,950 | $27.08 | 45,977 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-05-13 | 26,263 | $41.77 | 19,714 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-13 | 221 | $0.00 | 221 | $21.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-13 | 358 | $0.00 | 358 | $21.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-13 | 2,285 | $0.00 | 2,285 | $20.70 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-13 | 14,449 | $0.00 | 14,449 | $22.31 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-13 | 8,950 | $0.00 | 8,950 | $27.08 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 55,246 | 2013-12-31 | No | 4 | M | Direct | |
| 54,888 | 2014-12-31 | No | 4 | M | Direct | |
| 52,603 | 2015-12-31 | No | 4 | M | Direct | |
| 38,154 | 2016-12-31 | No | 4 | M | Direct | |
| 29,204 | 2017-12-31 | No | 4 | M | Direct |
Footnotes
- The Option Award granted on April 22, 2008, representing a right to purchase a total of 10,034 shares at $21.50, became exercisable on January 1, 2010.
- The Option Award granted on April 22, 2008, representing a right to purchase a total of 11,295 shares at $21.50, became exercisable on January 1, 2011.
- The Option Award granted on February 20, 2009, representing a right to purchase a total of 20,177 shares at $20.70, became exercisable on January 1, 2010, 2011 and 2012.
- The Option Award granted on February 25, 2010, representing a right to purchase a total of 16,816 shares at $22.31, became exercisable on January 1, 2011, 2012 and 2013.
- The Option Award granted on February 24, 2011, representing a right to purchase a total of 15,029 shares at $27.08, became exercisable on January 1, 2012, 2013 and 2014.
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