Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| H2O AMERICASJW · Entity 4308 | Director | February 28, 2018 | March 02, 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.
H2O AMERICA
Report date February 28, 2018 · Filed March 02, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 136,629 |
Reported balance
After 2018-02-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-02-28 · Tax withholding · Disposed 23,040 · Balance 136,629 F1: Represents an aggregate 23,040 shares of common stock withheld by the issuer in satisfaction of the applicable withholding taxes on shares of common stock that became issuable pursuant to the vesting of the return on equity ("ROE") restricted stock unit ("RSU") and total shareholder return ("TSR") RSU reported on the Form 4 filed on February 27, 2018. F2: Includes 23,433 shares of issuer's common stock, 7,000 shares of common stock underlying RSUs which vested in accordance with their terms, and 106,196 shares of the issuer's common stock underlying deferred restricted stock. |
| Common StockSEC Table I · non-derivative | Direct | 113,196 |
Reported balance
After 2018-02-28 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-02-28 · Gift · Disposed 23,433 · Balance 113,196 F3: Represents an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above. F4: Includes 7,000 shares of common stock underlying RSUs which vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock. |
| Common StockSEC Table I · non-derivative | IndirectBy the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 | 138,688 |
Reported balance
After 2018-02-28 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2018-02-28 · Gift · Acquired 23,433 · Balance 138,688 F3: Represents an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above. F5: Includes an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above. |
| Common StockSEC Table I · non-derivative | IndirectBy Separate Property Trust | 18,300 |
Reported balance
Holding disclosure · report date 2018-02-28 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 18,300 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an aggregate 23,040 shares of common stock withheld by the issuer in satisfaction of the applicable withholding taxes on shares of common stock that became issuable pursuant to the vesting of the return on equity ("ROE") restricted stock unit ("RSU") and total shareholder return ("TSR") RSU reported on the Form 4 filed on February 27, 2018.
F2: Includes 23,433 shares of issuer's common stock, 7,000 shares of common stock underlying RSUs which vested in accordance with their terms, and 106,196 shares of the issuer's common stock underlying deferred restricted stock.
F3: Represents an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above.
F4: Includes 7,000 shares of common stock underlying RSUs which vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock.
F5: Includes an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above.
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 |
|---|---|---|---|---|---|---|
| February 28, 2018 Filed Mar 2, 2018 00:26 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 23,433 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-18-000080 · wf-form4_151995040405409.xml · nonDerivative · entry 3 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 Disclosed balance after: 138,688 F3 · shares: Represents an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above. F5 · balance_after: Includes an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:26 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 23,433 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-18-000080 · wf-form4_151995040405409.xml · nonDerivative · entry 2 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,196 F3 · shares: Represents an aggregate of 23,433 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the ROE RSU and TSR RSU described in footnote 1 above. F4 · balance_after: Includes 7,000 shares of common stock underlying RSUs which vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:26 UTC | H2O AMERICA SJW · Entity 4308 | Tax withholdingCommon Stock | 23,040 | $52.94 | $1,219,737.60 |
DisclosureSEC source: 0000766829-18-000080 · wf-form4_151995040405409.xml · nonDerivative · entry 1 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,629 F1 · shares: Represents an aggregate 23,040 shares of common stock withheld by the issuer in satisfaction of the applicable withholding taxes on shares of common stock that became issuable pursuant to the vesting of the return on equity ("ROE") restricted stock unit ("RSU") and total shareholder return ("TSR") RSU reported on the Form 4 filed on February 27, 2018. F2 · balance_after: Includes 23,433 shares of issuer's common stock, 7,000 shares of common stock underlying RSUs which vested in accordance with their terms, and 106,196 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 00:13 UTC | H2O AMERICA SJW · Entity 4308 | GrantCommon Stock | 39,834 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-18-000068 · wf-form4_151977678686610.xml · nonDerivative · entry 2 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,669 F3 · shares: Represents 39,834 shares of common stock subject to RSUs that vested upon the attainment of certain performance goal based on total shareholder return ("TSR") measured from August 4, 2014 until December 31, 2017 and continued service by the reporting person until December 31, 2017. F4 · balance_after: Includes 53,473 shares of common stock underlying RSUs that vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 00:13 UTC | H2O AMERICA SJW · Entity 4308 | GrantCommon Stock | 6,639 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-18-000068 · wf-form4_151977678686610.xml · nonDerivative · entry 1 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,835 F1 · shares: Represents 6,639 shares of common stock subject to Restricted Stock Units ("RSU") that vested upon the attainment of certain performance goal based on return on equity ("ROE") measured over the 2017 calendar year period and continued service by the reporting person through December 31, 2017. F2 · balance_after: Includes 13,639 shares of common stock underlying RSUs that vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 19:36 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 11,263 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-18-000018 · wf-form4_151509456631224.xml · nonDerivative · entry 4 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 Disclosed balance after: 115,255 F5 · shares: Represents an aggregate of 11,263 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the RSUs and DSUs described in footnote 3 above. F7 · balance_after: Includes an aggregate of 11,263 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the the issuance of shares of common stock underlying the RSUs and DSUs described in footnote 3 above. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 19:36 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 11,263 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-18-000018 · wf-form4_151509456631224.xml · nonDerivative · entry 3 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,196 F5 · shares: Represents an aggregate of 11,263 shares of common stock that were issued and transferred by the reporting person to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 in connection with the issuance of shares of common stock underlying the RSUs and DSUs described in footnote 3 above. F6 · balance_after: Includes 7,000 shares of common stock underlying RSUs that vested in accordance with their terms and 106,196 shares of the issuer's common stock underlying DSUs. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 19:36 UTC | H2O AMERICA SJW · Entity 4308 | Tax withholdingCommon Stock | 7,703 | $63.47 | $488,909.41 |
DisclosureSEC source: 0000766829-18-000018 · wf-form4_151509456631224.xml · nonDerivative · entry 2 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,459 F3 · shares: Represents 7,703 shares of common stock withheld by the issuer to satisfy the reporting person's tax withholding obligations with respect to (1) an aggregate of 5,691 shares of common stock underlying restricted stock units ("RSUs") that vested and became issuable on January 2, 2018 pursuant to the terms of the August 4, 2014 Restricted Stock Issuance Agreement between the issuer and the reporting person and (2) an aggregate of 13,275 shares of the common stock underlying deferred restricted stock ("DSUs") that became issuable on January 2, 2018. The issuable shares were previously reported as Table I securities at the time the RSUs and DSUs were granted, and accordingly the issuance of those shares is not a reportable transaction on this Form 4. F4 · balance_after: Includes 11,263 shares of the issuer's common stock, 7,000 shares of the issuer's common stock underlying RSUs that vested in accordance with their terms and 106,196 shares of common stock underlying DSUs. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 19:36 UTC | H2O AMERICA SJW · Entity 4308 | GrantCommon Stock | 2,141 | $56.97 | $121,972.77 |
DisclosureSEC source: 0000766829-18-000018 · wf-form4_151509456631224.xml · nonDerivative · entry 1 ROTH W RICHARD · CIK 0001245289 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,162 F1 · shares: The securities represent deferred shares of the issuer's common stock credited to the reporting person's deferred compensation account pursuant to dividend equivalent rights. Those rights resulted initially in the addition of cash sums to the account equal to the dividends which would have been paid during the 2017 calendar year on the deferred stock credited to such account had that stock actually been issued and outstanding on each dividend payment date, and the accumulated sums were then converted into additional shares of deferred stock on January 2, 2018 based on the average of the closing prices of the issuer's common stock on each of the dates during the 2017 calendar year on which actual dividends on the common stock were paid. F1 · price: The securities represent deferred shares of the issuer's common stock credited to the reporting person's deferred compensation account pursuant to dividend equivalent rights. Those rights resulted initially in the addition of cash sums to the account equal to the dividends which would have been paid during the 2017 calendar year on the deferred stock credited to such account had that stock actually been issued and outstanding on each dividend payment date, and the accumulated sums were then converted into additional shares of deferred stock on January 2, 2018 based on the average of the closing prices of the issuer's common stock on each of the dates during the 2017 calendar year on which actual dividends on the common stock were paid. F2 · balance_after: Includes 12,691 shares of the issuer's common stock underlying restricted stock units that vested in accordance with their terms and 119,471 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:27 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 4,145 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-17-000056 · wf-form4_148848646436067.xml · nonDerivative · entry 4 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 Disclosed balance after: 103,992 F5 · shares: Represents an aggregate of 4,145 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of the ROE RSU described in footnote 1 above. F7 · balance_after: Includes an aggregate of 4,145 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of the ROE RSU described in footnote 1 above. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:27 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 4,145 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-17-000056 · wf-form4_148848646436067.xml · nonDerivative · entry 3 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,021 F5 · shares: Represents an aggregate of 4,145 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of the ROE RSU described in footnote 1 above. F6 · balance_after: Includes 12,691 shares of common stock underlying RSUs, which will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:27 UTC | H2O AMERICA SJW · Entity 4308 | Tax withholdingCommon Stock | 2,494 | $48.53 | $121,033.82 |
DisclosureSEC source: 0000766829-17-000056 · wf-form4_148848646436067.xml · nonDerivative · entry 2 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,166 F3 · shares: Represents 2,494 shares of common stock withheld by the issuer in satisfaction of the applicable withholding taxes on shares of common stock that became issuable pursuant to the vesting of the ROE RSU reported herein. F4 · balance_after: Includes 4,145 shares of the issuer's common stock, 12,691 shares of common stock underlying RSUs which will vest and become issuable in accordance with their terms, and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:27 UTC | H2O AMERICA SJW · Entity 4308 | GrantCommon Stock | 6,639 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-17-000056 · wf-form4_148848646436067.xml · nonDerivative · entry 1 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,660 F1 · shares: Represents 6,639 shares of common stock that became issuable pursuant to the vesting of Restricted Stock Units ("RSU") upon the attainment of certain performance goal based on return on equity ("ROE") measured over the 2016 calendar year period and continued service by the reporting person through December 31, 2016. F2 · balance_after: Includes 19,330 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 16:40 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 5,433 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-17-000008 · wf-form4_148363440517769.xml · nonDerivative · entry 4 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 Disclosed balance after: 99,847 F5 · shares: Represents an aggregate of 5,433 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of RSUs described in footnote 3 above. F7 · balance_after: Includes an aggregate of 5,433 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of RSUs described in footnote 3 above. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 16:40 UTC | H2O AMERICA SJW · Entity 4308 | GiftCommon Stock | 5,433 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-17-000008 · wf-form4_148363440517769.xml · nonDerivative · entry 3 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,021 F5 · shares: Represents an aggregate of 5,433 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of RSUs described in footnote 3 above. F6 · balance_after: Includes 12,691 shares of common stock underlying RSUs, which will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 16:40 UTC | H2O AMERICA SJW · Entity 4308 | Tax withholdingCommon Stock | 3,474 | $55.14 | $191,556.36 |
DisclosureSEC source: 0000766829-17-000008 · wf-form4_148363440517769.xml · nonDerivative · entry 2 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,454 F3 · shares: Represents 3,474 shares of common stock withheld by the issuer to satisfy the reporting person's tax withholding obligations with respect to an aggregate of 8,907 shares of common stock underlying restricted stock units ("RSUs") that vested and became issuable on January 3, 2017 pursuant to the terms of the January 2, 2014 and August 4, 2014 Restricted Stock Issuance Agreements between the issuer and the reporting person. The issuable shares were previously reported as Table I securities at the time the RSUs were granted, and accordingly the issuance of those shares is not a reportable transaction on this Form 4. F4 · balance_after: Includes 5,433 shares of the issuer's common stock, 12,691 shares of common stock underlying RSUs, which will vest and become issuable in accordance with their terms, and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 16:40 UTC | H2O AMERICA SJW · Entity 4308 | GrantCommon Stock | 2,223 | $41.94 | $93,232.62 |
DisclosureSEC source: 0000766829-17-000008 · wf-form4_148363440517769.xml · nonDerivative · entry 1 ROTH W RICHARD · CIK 0001245289 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,928 F1 · shares: The securities represent deferred shares of the issuer's common stock credited to the reporting person's deferred compensation account pursuant to dividend equivalent rights. Those rights resulted initially in the addition of cash sums to the account equal to the dividends which would have been paid during the 2016 calendar year on the deferred stock credited to such account had that stock actually been issued and outstanding on each dividend payment date, and the accumulated sums were then converted into additional shares of deferred stock on January 3, 2017 based on the average of the closing selling prices of the issuer's common stock on each of the dates during the 2016 calendar year on which actual dividends on the common stock were paid. F2 · balance_after: Includes 21,598 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock. 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.