Filing Details
- Accession Number:
- 0001181431-14-036739
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-18 18:42:20
- Reporting Period:
- 2014-11-14
- Filing Date:
- 2014-11-18
- Accepted Time:
- 2014-11-18 18:42:20
- 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 | 2014-08-14 | 116 | $31.26 | 47,139 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2014-09-02 | 12 | $32.26 | 47,151 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2014-11-14 | 107 | $34.24 | 47,258 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2014-11-14 | 6,000 | $13.41 | 53,258 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2014-11-14 | 6,000 | $34.22 | 47,258 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2014-11-14 | 6,000 | $20.97 | 53,258 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2014-11-14 | 6,000 | $34.22 | 47,258 | 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 | M | Direct | |
| No | 4 | S | 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 Options (Right to Buy) | Disposition | 2014-11-14 | 6,000 | $0.00 | 6,000 | $13.41 |
| Common Shares | Employee Stock Options (Right to Buy) | Disposition | 2014-11-14 | 6,000 | $0.00 | 6,000 | $20.97 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,000 | 2005-05-17 | 2015-05-16 | No | 4 | M | Direct |
| 0 | 2006-05-09 | 2016-05-08 | No | 4 | M | Direct |
Footnotes
- DER units credited on 8/15/2014 as dividend at FMV
- DER units credited on 9/2/2014 as dividend at FMV
- DER units credited on 11/14/2014 as dividend at FMV
Billionaire Hedge Funds
