Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERICAN STATES WATER COAWR · Entity 4127 | Former Officer | March 11, 2020 | March 13, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AMERICAN STATES WATER CO
Report date March 11, 2020 · Filed March 13, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Indirect401k | 1,905.3614 |
Reported balance
After 2020-03-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-03-12 · Grant · Acquired 298.2594 · Balance 1,905.3614 |
| Common SharesSEC Table I · non-derivative | Direct | 9,135.1441 |
Ending reported balance
After 2020-03-12 transaction · row 3
2 source rows · reconciled sequenceRow 2 · 2020-03-11 · Grant · Acquired 3,134.9821 · Balance 10,072.5526 Row 3 · 2020-03-12 · Tax withholding · Disposed 937.4085 · Balance 9,135.1441 F1: 937.4085 shares withheld to satisfy tax liability. |
Filing footnotes · ownership attribution and instrument terms
F1: 937.4085 shares withheld to satisfy tax liability.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 12, 2020 Filed Mar 13, 2020 21:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 937.4085 | $71.88 | $67,380.92 |
DisclosureSEC source: 0001209191-20-019008 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Former Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,135.1441 F1 · shares: 937.4085 shares withheld to satisfy tax liability. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 21:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 298.2594 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-019008 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Former Officer 10b5-1 filing: Not disclosed Ownership: Indirect · 401k Disclosed balance after: 1,905.3614 Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 21:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 3,134.9821 | $79.80 | $250,171.57 |
DisclosureSEC source: 0001209191-20-019008 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Former Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,072.5526 Read SEC document |
| May 10, 2019 Filed May 15, 2019 22:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 1,163 | $71.88 | $83,596.44 |
DisclosureSEC source: 0001209191-19-030158 · doc4.xml · nonDerivative · entry 7 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,926.5687 Read SEC document |
| May 10, 2019 Filed May 15, 2019 22:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 20 | $71.89 | $1,437.80 |
DisclosureSEC source: 0001209191-19-030158 · doc4.xml · nonDerivative · entry 6 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,089.5687 Read SEC document |
| May 10, 2019 Filed May 15, 2019 22:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 17 | $71.90 | $1,222.30 |
DisclosureSEC source: 0001209191-19-030158 · doc4.xml · nonDerivative · entry 5 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,109.5687 Read SEC document |
| May 10, 2019 Filed May 15, 2019 22:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 100 | $71.92 | $7,192.00 |
DisclosureSEC source: 0001209191-19-030158 · doc4.xml · nonDerivative · entry 4 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,126.5687 Read SEC document |
| May 10, 2019 Filed May 15, 2019 22:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 100 | $71.93 | $7,193.00 |
DisclosureSEC source: 0001209191-19-030158 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,226.5687 Read SEC document |
| May 10, 2019 Filed May 15, 2019 22:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 500 | $71.94 | $35,970.00 |
DisclosureSEC source: 0001209191-19-030158 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,326.5687 Read SEC document |
| May 10, 2019 Filed May 15, 2019 22:58 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 200 | $71.95 | $14,390.00 |
DisclosureSEC source: 0001209191-19-030158 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,826.5687 Read SEC document |
| March 12, 2019 Filed Mar 14, 2019 00:24 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 49.0001 | $71.44 | $3,500.57 |
DisclosureSEC source: 0001209191-19-019292 · doc4.xml · nonDerivative · entry 4 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,026.5687 F3 · shares: 49.0001 shares withheld to satisfy tax liability. Read SEC document |
| March 12, 2019 Filed Mar 14, 2019 00:24 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 964.019 | $71.44 | $68,869.52 |
DisclosureSEC source: 0001209191-19-019292 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,075.5688 F2 · shares: 964.0190 shares withheld to satisfy tax liability. Read SEC document |
| March 12, 2019 Filed Mar 14, 2019 00:23 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 49.0001 | $71.44 | $3,500.57 |
DisclosureSEC source: 0001209191-19-019291 · doc4.xml · nonDerivative · entry 4 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,026.5687 F3 · shares: 49.0001 shares withheld to satisfy tax liability. Read SEC document |
| March 12, 2019 Filed Mar 14, 2019 00:23 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 964.019 | $71.44 | $68,869.52 |
DisclosureSEC source: 0001209191-19-019291 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,075.5688 F2 · shares: 964.0190 shares withheld to satisfy tax liability. Read SEC document |
| March 11, 2019 Filed Mar 14, 2019 00:24 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 3,228.319 | $71.61 | $231,179.92 |
DisclosureSEC source: 0001209191-19-019292 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,039.5878 Read SEC document |
| March 11, 2019 Filed Mar 14, 2019 00:23 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 3,228.319 | $71.61 | $231,179.92 |
DisclosureSEC source: 0001209191-19-019291 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,039.5878 Read SEC document |
| March 01, 2019 Filed Mar 14, 2019 00:24 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 6.732 | $70.51 | $474.67 |
DisclosureSEC source: 0001209191-19-019292 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,811.2688 F1 · shares: DER Units credited on 03/01/2019 as dividend at FMV Read SEC document |
| March 01, 2019 Filed Mar 14, 2019 00:23 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 6.732 | $70.51 | $474.67 |
DisclosureSEC source: 0001209191-19-019291 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,811.2688 F1 · shares: DER Units credited on 03/01/2019 as dividend at FMV Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 00:29 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 585 | $71.16 | $41,628.60 |
DisclosureSEC source: 0001209191-19-014782 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,804.5368 Read SEC document |
| February 05, 2019 Filed Feb 7, 2019 17:56 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 74.0991 | $67.21 | $4,980.20 |
DisclosureSEC source: 0001209191-19-007969 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,389.5368 F3 · shares: 74.0991 shares withheld to satisfy tax liability. Read SEC document |
| February 05, 2019 Filed Feb 7, 2019 17:56 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 95.7564 | $67.21 | $6,435.79 |
DisclosureSEC source: 0001209191-19-007969 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,463.6359 F2 · shares: 95.7564 shares withheld to satisfy tax liability. Read SEC document |
| February 05, 2019 Filed Feb 7, 2019 17:56 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 151.5215 | $67.21 | $10,183.76 |
DisclosureSEC source: 0001209191-19-007969 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,559.3923 F1 · shares: 151.5215 were withheld to satisfy tax liability. Read SEC document |
| January 29, 2019 Filed Feb 1, 2019 02:44 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 531 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-006327 · doc4.xml · nonDerivative · entry 6 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,710.9138 Read SEC document |
| January 10, 2019 Filed Feb 1, 2019 02:44 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 108.6554 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-006327 · doc4.xml · nonDerivative · entry 5 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · 401k Disclosed balance after: 1,607.102 F5 · shares: Updated 401k Read SEC document |
| January 10, 2019 Filed Feb 1, 2019 02:44 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Disposition to issuerCommon Shares | 1.6677 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-006327 · doc4.xml · nonDerivative · entry 4 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,179.9138 F4 · shares: Adjustment due to partial share Read SEC document |
| December 03, 2018 Filed Feb 1, 2019 02:44 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 8.4677 | $68.02 | $575.97 |
DisclosureSEC source: 0001209191-19-006327 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,181.5815 F3 · shares: DER unites credited on 12/03/2018 as dividend at FMV Read SEC document |
| August 31, 2018 Filed Feb 1, 2019 02:44 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 9.4881 | $60.43 | $573.37 |
DisclosureSEC source: 0001209191-19-006327 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,173.1138 F2 · shares: DER Units credited on 08/31/2018 as dividend at FMV Read SEC document |
| June 01, 2018 Filed Feb 1, 2019 02:44 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 9.3909 | $56.36 | $529.27 |
DisclosureSEC source: 0001209191-19-006327 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,163.6257 F1 · shares: DER Units credited on 06/01/2018 as dividend at FMV Read SEC document |
| May 15, 2018 Filed May 29, 2018 21:53 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 1,232 | $54.13 | $66,686.93 |
DisclosureSEC source: 0001209191-18-033935 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,154.2348 Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 00:30 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 521.7001 | $52.01 | $27,133.62 |
DisclosureSEC source: 0001209191-18-019449 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,386.2348 F1 · shares: 521.7001 shares withheld to satisfy tax liability. Read SEC document |
| March 09, 2018 Filed Mar 14, 2018 00:30 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 485 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019449 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,907.9349 Read SEC document |
| March 09, 2018 Filed Mar 14, 2018 00:30 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 1,753.9717 | $52.01 | $91,224.07 |
DisclosureSEC source: 0001209191-18-019449 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,422.9349 Read SEC document |
| March 05, 2018 Filed Mar 6, 2018 01:17 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 734 | $51.54 | $37,830.36 |
DisclosureSEC source: 0001209191-18-016975 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,668.9632 Read SEC document |
| March 01, 2018 Filed Mar 6, 2018 01:17 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 7.7574 | $52.03 | $403.62 |
DisclosureSEC source: 0001209191-18-016975 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,402.9632 F1 · shares: DER Units credited on 03/01/2018 as dividend at FMV Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 00:33 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 94.0506 | $53.40 | $5,022.30 |
DisclosureSEC source: 0001209191-18-008250 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,395.2058 F3 · shares: 265.6794 previously reported RSU's of which 94.0506 were withheld to satisfy tax liability Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 00:33 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 144.4444 | $53.40 | $7,713.33 |
DisclosureSEC source: 0001209191-18-008250 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,489.2564 F2 · shares: 408.0354 previously reported RSU's of which 144.4444 were withheld to satisfy tax liability Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 00:33 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 164.4931 | $53.40 | $8,783.93 |
DisclosureSEC source: 0001209191-18-008250 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,633.7008 F1 · shares: 464.6694 previously reported RSU's of which 164.4931 were withheld to satisfy tax liability Read SEC document |
| January 30, 2018 Filed Feb 2, 2018 00:57 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 623 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006588 · doc4.xml · nonDerivative · entry 6 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,798.1939 Read SEC document |
| January 02, 2018 Filed Feb 2, 2018 00:57 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 1,038.2674 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006588 · doc4.xml · nonDerivative · entry 5 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · 401k Disclosed balance after: 1,715.7574 Read SEC document |
| January 02, 2018 Filed Feb 2, 2018 00:57 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Disposition to issuerCommon Shares | 1.6327 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006588 · doc4.xml · nonDerivative · entry 4 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,175.1939 F4 · shares: Adjustment due to partial share Read SEC document |
| December 01, 2017 Filed Feb 2, 2018 00:57 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 9.325 | $57.12 | $532.64 |
DisclosureSEC source: 0001209191-18-006588 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,176.8266 F3 · shares: DER Units credited on 12/01/2017 as dividend at FMV Read SEC document |
| September 01, 2017 Filed Feb 2, 2018 00:57 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 10.819 | $48.98 | $529.91 |
DisclosureSEC source: 0001209191-18-006588 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,167.5016 F2 · shares: DER units credited on 09/01/2017 as dividend at FMV Read SEC document |
| June 01, 2017 Filed Feb 2, 2018 00:57 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 10.702 | $46.75 | $500.32 |
DisclosureSEC source: 0001209191-18-006588 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,156.6826 F1 · shares: DER units credited on 06/01/2017 as dividend at FMV Read SEC document |
| May 05, 2017 Filed May 9, 2017 21:37 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon shares | 1,033 | $44.50 | $45,968.50 |
DisclosureSEC source: 0001209191-17-031044 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,145.9806 Read SEC document |
| March 06, 2017 Filed Mar 7, 2017 23:39 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 514.9139 | $43.88 | $22,594.42 |
DisclosureSEC source: 0001209191-17-018963 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,178.9806 F2 · shares: 514.9139 shares withheld to satisfy tax liability Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 23:39 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 1,548.5772 | $43.88 | $67,951.57 |
DisclosureSEC source: 0001209191-17-018963 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,693.8945 Read SEC document |
| March 01, 2017 Filed Mar 7, 2017 23:39 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 11.0853 | $44.89 | $497.62 |
DisclosureSEC source: 0001209191-17-018963 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,145.3173 F1 · shares: DER units credited on 3/1/2017 as dividend at FMV Read SEC document |
| February 03, 2017 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 153.5547 | $44.24 | $6,793.26 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 9 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,134.232 F8 · shares: 399.8811 previously reported RSU's of which 153.5547 were withheld to satisfy tax liability Read SEC document |
| February 03, 2017 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 169.724 | $44.24 | $7,508.59 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 8 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,287.7867 F7 · shares: 441.9897 previously reported RSU's of which 169.7240 were withheld to satisfy tax liability Read SEC document |
| February 03, 2017 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 171.6637 | $44.24 | $7,594.40 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 7 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,457.5107 F6 · shares: 447.0403 previously reported RSU's of which 171.6637 were withheld to satisfy tax liability Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.