Filing Details
- Accession Number:
- 0001181431-11-056838
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-17 19:40:11
- Reporting Period:
- 2011-11-16
- Filing Date:
- 2011-11-17
- Accepted Time:
- 2011-11-17 19:40:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1216700 | Ronald Patrick Scanlon | 175 Lilac Lane Brea CA 92823 | 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 | 2011-03-01 | 29 | $33.10 | 6,645 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-06-01 | 31 | $34.19 | 6,676 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-09-01 | 30 | $35.03 | 6,706 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-11-16 | 9,075 | $23.15 | 15,781 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2011-11-16 | 9,075 | $35.75 | 6,706 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-11-16 | 9,075 | $0.00 | 9,075 | $23.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2004-01-01 | 2012-12-31 | No | 4 | M | Direct |
Footnotes
- 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
- The option became exercisable as to 33% of the total number of shares subject to the option on 1/1/2004, 33% on 1/1/2005 and 34% on 1/1/2006.
Billionaire Hedge Funds
