Filing Details
- Accession Number:
- 0001181431-13-016473
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-12 21:28:43
- Reporting Period:
- 2013-03-08
- Filing Date:
- 2013-03-12
- Accepted Time:
- 2013-03-12 21:28:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1559113 | S Mark Smith | 1025 Laurel Oak Road Voorhees NJ 08043 | Vp & Chief Information Officer | 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 | 2013-03-08 | 576 | $21.51 | 2,041 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-03-08 | 490 | $27.08 | 2,531 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-03-08 | 1,335 | $34.12 | 3,866 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-03-08 | 2,219 | $39.69 | 1,717 | 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 | 2013-03-08 | 576 | $0.00 | 576 | $21.51 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-03-08 | 490 | $0.00 | 490 | $27.08 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-03-08 | 1,335 | $0.00 | 1,335 | $34.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,277 | 2016-12-31 | No | 4 | M | Direct | |
| 8,787 | 2017-12-31 | No | 4 | M | Direct | |
| 7,452 | 2018-12-31 | No | 4 | M | Direct |
Footnotes
- Represents Option Award granted on March 25, 2010, representing a right to purchase 1,728 shares at $21.51, became exercisable on January 1, 2011, January 1, 2012 and January 1, 2013.
- Represents Option Award granted on February 24, 2011, representing a right to purchase 1,471 shares at $27.08, became exercisable 1/3 January 1, 2012 and 1/3 on January 1, 2013.
- Represents Option Award granted on February 23, 2012, representing a right to purchase 1,471 shares at $34.12, became exercisable 1/3 January 1, 2013.
- Includes 70 shares purchased through the ESPP on March 1, 2013.
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