Filing Details
- Accession Number:
- 0001181431-11-056599
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-16 17:28:33
- Reporting Period:
- 2011-11-15
- Filing Date:
- 2011-11-16
- Accepted Time:
- 2011-11-16 17:28:33
- 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 |
|---|---|---|---|---|---|---|---|
| 1195395 | F Robert Kathol | 954 South 117Th Court Omaha NE 68154 | Yes | No | 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 | 2011-05-12 | 91 | $34.02 | 16,843 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-08-11 | 84 | $34.27 | 16,927 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-11-10 | 83 | $34.99 | 17,010 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-11-15 | 1,000 | $25.40 | 18,010 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2011-11-15 | 1,600 | $35.48 | 16,410 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2011-11-15 | 1,000 | $22.75 | 17,410 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2011-11-15 | 400 | $35.48 | 17,010 | 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 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Stock Options | Disposition | 2011-11-15 | 1,000 | $0.00 | 1,000 | $25.40 |
| Common Shares | Stock Options | Disposition | 2011-11-15 | 1,000 | $0.00 | 1,000 | $22.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2003-05-20 | 2013-05-19 | No | 4 | M | Direct |
| 0 | 2004-05-11 | 2014-05-10 | No | 4 | M | Direct |
Footnotes
- DER units credited on 5/12/2011 as dividend at FMV
- DER units credited on 8/11/2011 as dividend at FMV
- DER units credited on 11/10/2011 as dividend at FMV
Billionaire Hedge Funds
