Filing Details
- Accession Number:
- 0001181431-11-057022
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-18 20:01:09
- Reporting Period:
- 2011-11-17
- Filing Date:
- 2011-11-18
- Accepted Time:
- 2011-11-18 20:01:09
- 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 |
|---|---|---|---|---|---|---|---|
| 1389251 | Jr R Granville Hodges | 2712 Hartford Avenue Fullerton CA 92835-3034 | 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 | 6,133 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-06-01 | 31 | $34.19 | 6,164 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-09-01 | 30 | $35.03 | 6,194 | No | 4 | A | Direct | |
| Common Shares | Acquisiton | 2011-11-17 | 750 | $23.43 | 6,944 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2011-11-17 | 324 | $35.77 | 6,620 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-11-17 | 350 | $35.75 | 6,270 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2011-11-17 | 76 | $35.76 | 6,194 | 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 |
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 | 2011-11-17 | 750 | $0.00 | 750 | $23.43 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2003-02-03 | 2012-02-03 | No | 4 | M | Direct |
Footnotes
- DER units credited on 3/1/2011 as dividend at FMV
- DER units credited on 3/1/2011 as dividend at FMV
- DER units credited on 3/1/2011 as dividend at FMV
- The option became exercisable as to 33% of the total number of shares subject to the option on 2/3/2003, 33% on 2/3/2004, and 34% on 2/3/2005
Billionaire Hedge Funds
