Filing Details
- Accession Number:
- 0001181431-14-011109
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-05 19:55:02
- Reporting Period:
- 2014-03-04
- Filing Date:
- 2014-03-05
- Accepted Time:
- 2014-03-05 19:55:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1187379 | M Anne Holloway | 38 Barry Lane Atherton CA 94027 | Yes | No | 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 | 2013-08-15 | 63 | $58.51 | 22,428 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2013-09-03 | 7 | $51.69 | 22,435 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2013-09-03 | 22,435 | $0.00 | 44,869 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2013-11-15 | 131 | $28.55 | 45,000 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2013-11-15 | 2 | $0.00 | 45,002 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2014-02-17 | 134 | $28.19 | 45,136 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2014-03-04 | 2,000 | $11.38 | 47,136 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2014-03-04 | 2,000 | $30.28 | 45,136 | 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 | A | Direct | |
| No | 4 | A | 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 | 2014-03-04 | 2,000 | $0.00 | 2,000 | $11.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2004-05-11 | 2014-05-11 | No | 4 | M | Direct |
Footnotes
- DER units credited on 8/15/2013 as dividend at FMV
- DER units credited on 9/3/2013 as dividend at FMV
- Adjustment due to 2 for 1 stock split effective 9/3/2013
- DER units credited on 11/15/2013 as dividend at FMV
- Adjustment due to partial share
- DER units credited on 2/17/2014 as dividend at FMV
Billionaire Hedge Funds
