Filing Details
- Accession Number:
- 0001410636-18-000152
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-04 09:46:42
- Reporting Period:
- 2018-08-30
- Accepted Time:
- 2018-09-04 09:46:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1410636 | American Water Works Company Inc. | AWK | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1296668 | A Loyd Warnock | 1025 Laurel Oak Road Voorhees NJ 08043 | Svp, Ext. Affairs, Bus. Dev. | 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 | 2018-08-30 | 782 | $65.15 | 12,322 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-08-30 | 5,245 | $52.75 | 17,567 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-30 | 6,027 | $88.04 | 11,540 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-31 | 4,493 | $65.15 | 16,033 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-31 | 4,493 | $87.63 | 11,540 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 Stock | Employee Stock Option (right to buy) | Disposition | 2018-08-30 | 782 | $0.00 | 782 | $65.15 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-08-30 | 5,245 | $0.00 | 5,245 | $52.75 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-08-31 | 4,493 | $0.00 | 4,493 | $65.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,326 | 2022-12-31 | No | 4 | M | Direct | |
| 2,075 | 2021-12-31 | No | 4 | M | Direct | |
| 4,833 | 2022-12-31 | No | 4 | M | Direct |
Footnotes
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.00 to $88.09, inclusive. The report person undertakes to provide to American Water Works Company, Inc., any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.50 to $87.875, inclusive. The report person undertakes to provide to American Water Works Company, Inc., any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.
- This option award granted on February 16, 2016, representing a right to purchase 10,108 shares, vests in three equal installments on January 1, 2017, 2018 and 2019.
- The option award granted on February 17, 2015, representing a right to purchase 10,435 shares, vested in three equal installments on January 1, 2016, 2017 and 2018.
- A prior exercise of 3,115 shares underlying this option was previously reported.
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