Filing Details
- Accession Number:
- 0001181431-11-048498
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-07 20:36:21
- Reporting Period:
- 2011-09-06
- Filing Date:
- 2011-09-07
- Accepted Time:
- 2011-09-07 20:36:21
- 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 |
|---|---|---|---|---|---|---|---|
| 1304194 | K Bryan Switzer | 630 E Foothill Blvd San Dimas CA 91773 | Vice President | 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 Shares | Acquisiton | 2011-03-01 | 29 | $33.10 | 6,088 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-06-01 | 31 | $34.19 | 6,119 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-09-01 | 30 | $35.03 | 6,149 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-09-06 | 3,085 | $25.92 | 9,234 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2011-09-06 | 700 | $33.04 | 8,534 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 400 | $33.05 | 8,134 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 100 | $33.06 | 8,034 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 150 | $33.08 | 7,884 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 200 | $33.11 | 7,684 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 400 | $33.12 | 7,284 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 200 | $33.14 | 7,084 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 300 | $33.15 | 6,784 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 135 | $33.16 | 6,649 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-09-06 | 500 | $33.18 | 6,149 | 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 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | Employee Stock Options (Right to Buy) | Disposition | 2011-09-06 | 3,085 | $25.92 | 3,085 | $25.92 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-01-02 | 2015-01-02 | No | 4 | M | Direct |
Footnotes
- DER units credited on 3/1/2011 as dividend at FMV
- DER units credited on 6/1/2011 as dividend at FMV
- DER units credited on 9/1/2011 as dividend at FMV
- This option became exercisable as to 33% of the total number of shares subject to the option on 1/2/2006, 33% on 1/2/2007 and 34% on 1/2/2008
Billionaire Hedge Funds
