Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERICAN STATES WATER COAWR · Entity 4127 | Vice President | March 09, 2018 | March 14, 2018 |
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 09, 2018 · Filed March 14, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 24,222.7036 |
Reported balance
After 2018-03-01 transaction · row 1
1 source rowRow 1 · 2018-03-01 · Grant · Acquired 6.1678 · Balance 24,222.7036 F1: DER Units credited on 03/01/2018 as dividend at FMV |
| Common SharesSEC Table I · non-derivative | Direct | 25,203.9867 |
Ending reported balance
After 2018-03-12 transaction · row 4
3 source rows · reconciled sequenceRow 2 · 2018-03-09 · Grant · Acquired 1,256.5127 · Balance 25,479.2163 Row 3 · 2018-03-09 · Grant · Acquired 209 · Balance 25,688.2163 Row 4 · 2018-03-12 · Tax withholding · Disposed 484.2296 · Balance 25,203.9867 F2: 484.2296 shares withheld to satisfy tax liability. |
Filing footnotes · ownership attribution and instrument terms
F1: DER Units credited on 03/01/2018 as dividend at FMV
F2: 484.2296 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, 2018 Filed Mar 14, 2018 00:33 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 484.2296 | $52.01 | $25,184.78 |
DisclosureSEC source: 0001209191-18-019454 · doc4.xml · nonDerivative · entry 4 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,203.9867 F2 · shares: 484.2296 shares withheld to satisfy tax liability. Read SEC document |
| March 09, 2018 Filed Mar 14, 2018 00:33 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 209 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019454 · doc4.xml · nonDerivative · entry 3 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,688.2163 Read SEC document |
| March 09, 2018 Filed Mar 14, 2018 00:33 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 1,256.5127 | $52.01 | $65,351.23 |
DisclosureSEC source: 0001209191-18-019454 · doc4.xml · nonDerivative · entry 2 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,479.2163 Read SEC document |
| March 01, 2018 Filed Mar 14, 2018 00:33 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 6.1678 | $52.03 | $320.91 |
DisclosureSEC source: 0001209191-18-019454 · doc4.xml · nonDerivative · entry 1 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,222.7036 F1 · shares: DER Units credited on 03/01/2018 as dividend at FMV Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 00:26 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 93.4676 | $53.40 | $4,991.17 |
DisclosureSEC source: 0001209191-18-008246 · doc4.xml · nonDerivative · entry 3 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,216.5358 F3 · shares: 228.6392 previously reported RSU's of which 93.4676 were withheld to satisfy tax liability Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 00:26 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 102.4758 | $53.40 | $5,472.21 |
DisclosureSEC source: 0001209191-18-008246 · doc4.xml · nonDerivative · entry 2 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,310.0034 F2 · shares: 250.6749 previously reported RSU's of which 102.4758 were withheld to satisfy tax liability Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 00:26 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 136.1283 | $53.40 | $7,269.25 |
DisclosureSEC source: 0001209191-18-008246 · doc4.xml · nonDerivative · entry 1 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,412.4792 F1 · shares: 332.9949 previously reported RSU's of which 136.1283 were withheld to satisfy tax liability Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 22:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 536 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006545 · doc4.xml · nonDerivative · entry 6 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,548.6075 Read SEC document |
| January 02, 2018 Filed Feb 1, 2018 22:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Disposition to issuerCommon Shares | 1.4428 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006545 · doc4.xml · nonDerivative · entry 5 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,477.8206 F5 · shares: Adjustment due to partial share Read SEC document |
| January 02, 2018 Filed Feb 1, 2018 22:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 10.4824 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006545 · doc4.xml · nonDerivative · entry 4 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · 401k Disclosed balance after: 6,402.4124 F4 · shares: Updated 401k Read SEC document |
| December 01, 2017 Filed Feb 1, 2018 22:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 216.4831 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006545 · doc4.xml · nonDerivative · entry 3 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,014.0503 F3 · shares: Updated DRIP Read SEC document |
| December 01, 2017 Filed Feb 1, 2018 22:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 6.8213 | $57.12 | $389.63 |
DisclosureSEC source: 0001209191-18-006545 · doc4.xml · nonDerivative · entry 2 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,797.5672 F2 · shares: DER unites credited on 12/01/2017 as dividend at FMV Read SEC document |
| September 01, 2017 Filed Feb 1, 2018 22:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 7.9137 | $48.98 | $387.61 |
DisclosureSEC source: 0001209191-18-006545 · doc4.xml · nonDerivative · entry 1 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,790.7459 F1 · shares: DER Units credited on 09/01/2017 as dividend at FMV Read SEC document |
| August 09, 2017 Filed Aug 10, 2017 22:02 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,932 | $0.00 Strike: $16.68 | $0.00 |
DisclosureSEC source: 0001209191-17-048465 · doc4.xml · derivative · entry 5 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 1,932 shares Expires 2020-01-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 09, 2017 Filed Aug 10, 2017 22:02 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | SaleCommon Shares | 1,932 | $50.97 | $98,474.04 |
DisclosureSEC source: 0001209191-17-048465 · doc4.xml · nonDerivative · entry 4 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,782.8322 Read SEC document |
| August 09, 2017 Filed Aug 10, 2017 22:02 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Exercise / conversionCommon Shares | 1,932 | $16.68 | $32,225.76 |
DisclosureSEC source: 0001209191-17-048465 · doc4.xml · nonDerivative · entry 3 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,714.8322 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 06, 2017 Filed Aug 10, 2017 22:02 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 116.0557 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-048465 · doc4.xml · nonDerivative · entry 2 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,782.8322 F2 · shares: Updated DRIP Read SEC document |
| June 01, 2017 Filed Aug 10, 2017 22:02 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 7.828 | $46.75 | $365.96 |
DisclosureSEC source: 0001209191-17-048465 · doc4.xml · nonDerivative · entry 1 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,666.7765 F1 · shares: DER units credited on 6/1/2017 as dividend at FMV Read SEC document |
| March 06, 2017 Filed Mar 7, 2017 23:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 113.0063 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018975 · doc4.xml · nonDerivative · entry 4 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,658.9485 F3 · shares: Updated DRIP Read SEC document |
| March 06, 2017 Filed Mar 7, 2017 23:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 637.6454 | $43.88 | $27,979.88 |
DisclosureSEC source: 0001209191-17-018975 · doc4.xml · nonDerivative · entry 3 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,545.9422 F2 · shares: 637.6454 shares withheld to satisfy tax liability Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 23:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 1,548.5772 | $43.88 | $67,951.57 |
DisclosureSEC source: 0001209191-17-018975 · doc4.xml · nonDerivative · entry 2 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,183.5876 Read SEC document |
| March 01, 2017 Filed Mar 7, 2017 23:45 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 8.1087 | $44.89 | $364.00 |
DisclosureSEC source: 0001209191-17-018975 · doc4.xml · nonDerivative · entry 1 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,635.0104 F1 · shares: DER units credited on 3/1/2017 as dividend at FMV Read SEC document |
| February 03, 2017 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 107.5522 | $44.24 | $4,758.11 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 10 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,626.9017 F9 · shares: 245.6653 previously reported RSU's of which 107.5522 were withheld to satisfy tax liability Read SEC document |
| February 03, 2017 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 138.6698 | $44.24 | $6,134.75 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 9 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,734.4539 F8 · shares: 316.7420 previously reported RSU's of which 138.6698 were withheld to satisfy tax liability Read SEC document |
| February 03, 2017 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Tax withholdingCommon Shares | 195.7143 | $44.24 | $8,658.40 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 8 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,873.1237 F7 · shares: 447.0403 previously reported RSU's of which 195.7143 were withheld to satisfy tax liability Read SEC document |
| January 31, 2017 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 679 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 7 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,068.838 Read SEC document |
| December 30, 2016 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | Disposition to issuerCommon Shares | 1.5894 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 6 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,389.838 F6 · shares: Adjustment due to partial share Read SEC document |
| December 30, 2016 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 264.94 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 5 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · 401k Disclosed balance after: 6,388.93 F5 · shares: Updated 401K Read SEC document |
| December 01, 2016 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 346.9359 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 4 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,391.4274 F4 · shares: Updated DRIP Read SEC document |
| December 01, 2016 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 10.3411 | $42.69 | $441.46 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 3 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,044.4915 F3 · shares: DER units credited on 12/1/2016 as dividend at FMV Read SEC document |
| September 01, 2016 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 10.4577 | $38.85 | $406.28 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 2 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,034.1504 F2 · shares: DER units credited on 9/1/2016 as dividend at FMV Read SEC document |
| June 01, 2016 Filed Feb 10, 2017 00:32 UTC | AMERICAN STATES WATER CO AWR · Entity 4127 | GrantCommon Shares | 10.1433 | $39.83 | $404.01 |
DisclosureSEC source: 0001209191-17-009289 · doc4.xml · nonDerivative · entry 1 GALLAGHER JAMES B · CIK 0001184070 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,023.6927 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.