Filing Details
- Accession Number:
- 0001181431-11-055787
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-10 17:25:47
- Reporting Period:
- 2011-11-09
- Filing Date:
- 2011-11-10
- Accepted Time:
- 2011-11-10 17:25:47
- 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 |
|---|---|---|---|---|---|---|---|
| 1487727 | K David Baker | 1025 Laurel Oak Road Voorhees NJ 08043 | President, Nj American Water | 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 | 2011-11-09 | 4,252 | $21.50 | 6,111 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-11-09 | 3,897 | $21.50 | 10,008 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-11-09 | 4,014 | $20.70 | 14,022 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-11-09 | 4,617 | $22.26 | 18,639 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-09 | 16,780 | $30.82 | 1,859 | 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 | 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 | 2011-11-09 | 4,252 | $0.00 | 4,252 | $21.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-11-09 | 3,897 | $0.00 | 3,897 | $21.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-11-09 | 4,014 | $0.00 | 4,014 | $20.70 |
| Common Stock | Employe Stock Option (right to buy) | Disposition | 2011-11-09 | 4,617 | $0.00 | 4,617 | $22.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,700 | 2013-12-31 | No | 4 | M | Direct | |
| 36,803 | 2014-12-31 | No | 4 | M | Direct | |
| 32,789 | 2015-12-31 | No | 4 | M | Direct | |
| 28,172 | 2016-12-31 | No | 4 | M | Direct |
Footnotes
- The Option Award granted on April 22, 2008, representing a right to purchase a total of 4,317 shares at $21.50, became exercisable on January 1, 2010.
- The Option Award granted on April 22, 2008, representing a right to purchase a total of 4,712 shares at $21.50, became exercisable on January 1, 2011.
- The Option Award granted on February 20, 2009, representing a right to purchase a total of 6,712 shares at $20.70, one-third of which vested on January 1, 2010 and one-third of which vested on January 1, 2011.
- The Option Award granted on February 25, 2010, representing a right to purchase a total of 15,203 shares at $22.26, one-third of which vested on January 1, 2011.
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