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 |
|---|---|---|---|---|---|---|
| January 31, 2017 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 789 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 6 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,629.1744 Read SEC document |
| December 30, 2016 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Disposition to issuerCommon Shares | 1.7952 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 5 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,840.1744 F5 · shares: Adjustment due to partial share Read SEC document |
| December 30, 2016 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Disposition to issuerCommon Shares | 440.29 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 4 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · 401k Disclosed balance after: 677.49 F4 · shares: Updated 401k Read SEC document |
| December 01, 2016 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 14.4087 | $42.69 | $615.11 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 3 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,841.9696 F3 · shares: DER units credited on 12/1/2016 as dividend at FMV Read SEC document |
| September 01, 2016 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 14.5712 | $38.85 | $566.09 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 2 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,827.5609 F2 · shares: DER units credited on 9/1/2016 as dividend at FMV Read SEC document |
| June 01, 2016 Filed Feb 10, 2017 00:28 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 14.1332 | $39.83 | $562.93 |
DisclosureSEC source: 0001209191-17-009282 · doc4.xml · nonDerivative · entry 1 Cotton, III James C · CIK 0001562228 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,812.9897 F1 · shares: DER units credited on 6/1/2016 as dividend at FMV 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.