Filing Details
- Accession Number:
- 0001181431-12-045455
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-14 16:34:24
- Reporting Period:
- 2012-08-10
- Filing Date:
- 2012-08-14
- Accepted Time:
- 2012-08-14 16:34:24
- 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 | 2012-06-01 | 40 | $36.61 | 10,861 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2012-08-10 | 5,378 | $38.62 | 16,239 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2012-08-10 | 2,584 | $34.57 | 18,823 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2012-08-10 | 1,125 | $33.36 | 19,948 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2012-08-10 | 9,087 | $43.54 | 10,861 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | 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 Options (Right to Buy) | Disposition | 2012-08-10 | 5,378 | $0.00 | 5,378 | $38.62 |
| Common Shares | Employee Stock Options (Right to Buy) | Disposition | 2012-08-10 | 2,584 | $0.00 | 2,584 | $34.57 |
| Common Shares | Employee Stock Options (Right to Buy) | Disposition | 2012-08-10 | 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 | 2008-01-01 | 2017-01-01 | 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 6/1/2012 as dividend at FMV
Billionaire Hedge Funds
