Filing Details
- Accession Number:
- 0001181431-13-059312
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-15 19:15:57
- Reporting Period:
- 2013-11-13
- Filing Date:
- 2013-11-15
- Accepted Time:
- 2013-11-15 19:15:57
- 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 |
|---|---|---|---|---|---|---|---|
| 1327420 | D William Rogers | 1025 Laurel Oak Road Voorhees NJ 08043 | Vice President And Treasurer | 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 | 2013-11-13 | 705 | $27.08 | 1,374 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 2,820 | $34.12 | 4,194 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-13 | 3,525 | $42.40 | 669 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2013-11-13 | 705 | $0.00 | 705 | $27.08 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 2,820 | $0.00 | 2,820 | $34.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,290 | 2017-12-31 | No | 4 | M | Direct | |
| 13,470 | 2018-12-31 | No | 4 | M | Direct |
Footnotes
- The Option Award granted on February 24, 2011, representing a right to purchase a total of 10,058 shares at $27.08, vested 1/3 on January 1, 2012 and 1/3 on January 1, 2013.
- The Option Award granted on February 23, 2012, representing a right to purchase a total of 8,462 shares at $34.12, vested 1/3 on January 1, 2013.
Billionaire Hedge Funds
