Filing Details
- Accession Number:
- 0001181431-14-020537
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-21 12:51:52
- Reporting Period:
- 2014-05-19
- Filing Date:
- 2014-05-21
- Accepted Time:
- 2014-05-21 12:51:52
- 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 | 2014-05-19 | 123 | $27.08 | 2,957 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-05-19 | 343 | $34.12 | 3,300 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-05-19 | 300 | $39.45 | 3,600 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-19 | 766 | $47.22 | 2,834 | 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 | 2014-05-19 | 123 | $0.00 | 123 | $27.08 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2014-05-19 | 343 | $0.00 | 343 | $34.12 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2014-05-19 | 300 | $0.00 | 300 | $39.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 123 | 2017-12-31 | No | 4 | M | Direct | |
| 1,680 | 2018-12-31 | No | 4 | M | Direct | |
| 3,288 | 2019-12-31 | No | 4 | M | Direct |
Footnotes
- The option award granted on February 24, 2011, representing a right to purchase 981 shares, vested in three equal installments on January 1, 2012, 2013 and 2014.
- The option award granted on February 23, 2012, representing a right to purchase 4,008 shares, vests in three equal installments on January 1, 2013, 2014 and 2015.
- The option award granted on February 21, 2013, representing a right to purchase 4,288 shares, vests in three equal installments on January 1, 2014, 2015 and 2016.
- 735 shares of this option award were previously exercised and reported.
- 1,985 shares of this option award were previously exercised and reported.
- 700 shares of this option award were previously exercised and reported.
Billionaire Hedge Funds
