Filing Details
- Accession Number:
- 0001181431-11-059197
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-07 12:01:55
- Reporting Period:
- 2011-12-05
- Filing Date:
- 2011-12-07
- Accepted Time:
- 2011-12-07 12:01:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1184071 | Iii Mcclellan Harris | 3419 Via Lido Drive Pmb#334 Newport Beach CA 92663 | Sr. 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 | 36 | $33.10 | 8,933 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-06-01 | 38 | $34.19 | 8,971 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-09-01 | 37 | $35.03 | 9,008 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-12-01 | 37 | $35.36 | 9,046 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-12-05 | 4,105 | $25.92 | 13,151 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2011-12-05 | 3,618 | $33.73 | 16,769 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2011-12-05 | 3,609 | $34.11 | 20,378 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2011-12-05 | 5,016 | $34.57 | 25,394 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2011-12-05 | 1,125 | $33.36 | 26,519 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2011-12-05 | 17,473 | $35.61 | 9,046 | 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 | A | Direct | |
| 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 Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-12-05 | 4,105 | $0.00 | 4,105 | $25.92 |
| Common Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-12-05 | 3,618 | $0.00 | 3,618 | $33.73 |
| Common Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-12-05 | 3,609 | $0.00 | 3,609 | $34.11 |
| Common Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-12-05 | 5,016 | $0.00 | 5,016 | $34.57 |
| Common Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-12-05 | 1,125 | $0.00 | 1,125 | $33.36 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-01-02 | 2015-01-02 | No | 4 | M | Direct |
| 0 | 2007-01-29 | 2016-01-29 | No | 4 | M | Direct |
| 0 | 2009-01-27 | 2018-01-27 | No | 4 | M | Direct |
| 0 | 2010-01-29 | 2019-01-29 | No | 4 | M | Direct |
| 0 | 2011-01-31 | 2020-01-31 | 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
- DER units credited on 12/1/2011 as dividend at FMV
- The option became exercisable as to 33% of the total number of shares subject to the option on 1/2/2006, 33% on 1/2/2007 and 34% on 1/2/2008
- The option became exercisable as to 33% of the total number of shares subject to the option on 1/29/2007, 33% on 1/29/2008 and 34% on 1/29/2009
- The option became exercisable as to 33% of the total number of shares subject to the option on 1/27/2009, 33% on 1/27/2010 and 34% on 1/27/2011
- The option became exercisable as to 33% of the total number of shares subject to the option on 1/29/2010, 33% on 1/29/2011 and 34% on 1/29/2012
- The option became exercisable as to 33% of the total number of shares subject to the option on 1/31/2011, 33% on 1/31/2012 and 34% on 1/31/2013
Billionaire Hedge Funds
