Filing Details
- Accession Number:
- 0001209191-15-079957
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-13 11:15:41
- Reporting Period:
- 2015-11-10
- Filing Date:
- 2015-11-13
- Accepted Time:
- 2015-11-13 11:15:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1296668 | A Loyd Warnock | 1025 Laurel Oak Road Voorhees NJ 08043 | Svp, External Affairs, Comm. | 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 | 2015-11-10 | 3,759 | $46.45 | 11,672 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-10 | 3,759 | $56.39 | 7,913 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-11-10 | 211 | $56.41 | 7,702 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2015-11-10 | 3,759 | $0.00 | 3,759 | $46.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,514 | 2020-12-31 | No | 4 | M | Direct |
Footnotes
- Includes 727 shares purchased under the American Water Works Company, Inc. Employee Stock Purchase Plan (including 211 shares that were inadvertently omitted from the reporting person's Form 4s filed on January 5, 2015 and February 19, 2015).
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.3865 to $56.40, inclusive. The reporting person undertakes to provide to American Water Works Company, Inc., any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.
- The option award granted on April 28, 2014, representing a right to purchase 12,273 shares, vests in three equal installments on January 1, 2015, 2016 and 2017.
Billionaire Hedge Funds
