Filing Details
- Accession Number:
- 0001181431-12-046144
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-16 19:02:53
- Reporting Period:
- 2012-08-14
- Filing Date:
- 2012-08-16
- Accepted Time:
- 2012-08-16 19:02:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1410636 | American Water Works Company Inc. | AWK | Water Supply (4941) | 510063696 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1487727 | K David Baker | 1025 Laurel Oak Road Voorhees NJ 08043 | President, Nj American Water | 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 | 2012-08-14 | 420 | $21.50 | 3,199 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2012-08-14 | 460 | $21.50 | 3,659 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2012-08-14 | 2,698 | $20.70 | 6,357 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-14 | 3,578 | $38.00 | 2,779 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-14 | 420 | $0.00 | 420 | $21.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-14 | 460 | $0.00 | 460 | $21.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-14 | 2,698 | $0.00 | 2,698 | $20.70 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,518 | 2013-12-31 | No | 4 | M | Direct | |
| 40,058 | 2014-12-31 | No | 4 | M | Direct | |
| 37,360 | 2015-12-31 | No | 4 | M | Direct |
Footnotes
- The Option Award granted on April 22, 2008, representing a right to purchase a total of 4,317 shares at $21.50 became exercisable on January 1, 2010.
- The Option Award granted on April 22, 2008, representing a right to purchase a total of 4,712 shares at $21.50 became exercisable on January 1, 2011.
- The Option Award granted on February 20, 2009, representing a right to purchase a total of 6,712 shares at $20.70, one-third of which vested on January 1, 2010, January 1, 2011 and January 1, 2012.
Billionaire Hedge Funds
