Filing Details
- Accession Number:
- 0001181431-13-061101
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-02 19:37:12
- Reporting Period:
- 2013-11-26
- Filing Date:
- 2013-12-02
- Accepted Time:
- 2013-12-02 19:37:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1304194 | K Bryan Switzer | 630 E Foothill Blvd San Dimas CA 91773 | Vice President | 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 Shares | Acquisiton | 2013-06-01 | 20 | $53.13 | 7,624 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2013-09-03 | 24 | $52.60 | 7,648 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2013-09-03 | 7,639 | $0.00 | 15,287 | No | 4 | A | Direct | |
| Common Shares | Disposition | 2013-11-26 | 1,932 | $16.68 | 17,219 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 100 | $28.53 | 17,119 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 3 | $28.54 | 17,116 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 29 | $28.55 | 17,087 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 100 | $28.58 | 16,987 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 200 | $28.59 | 16,787 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 497 | $28.60 | 16,290 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 203 | $28.61 | 16,087 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 400 | $28.62 | 15,687 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 200 | $28.65 | 15,487 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-11-26 | 200 | $28.66 | 15,287 | 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 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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) | Disposition | 2013-11-26 | 1,932 | $0.00 | 1,932 | $16.68 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-01-31 | 2020-01-31 | No | 4 | M | Direct |
Footnotes
- DER units credited on 6/1/2013 as dividend at FMV
- DER units credited on 9/3/2013 as dividend at FMV
- Adjustment to shares due to stock split effective 9/3/2013
Billionaire Hedge Funds
