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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 14 | 08/10/2007 | M | 15,035 | 04/29/2004(28) | 04/28/2013 | Common Stock | 15,035 | $ 0 | 9,071 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROTH W RICHARD 374 W. SANTA CLARA STREET SAN JOSE, CA 95113 |
X | President & CEO |
/s/ W. Richard Roth | 08/14/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 15,035 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(2) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(3) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,835 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(4) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(5) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(6) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,235 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(7) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,135 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(8) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 13,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(9) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 13,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(10) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 13,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(11) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 12,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(12) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(13) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,835 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(14) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(15) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(16) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(17) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 10,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(18) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 10,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(19) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 9,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(20) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 7,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(21) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 7,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(22) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 7,235 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(23) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 6,835 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(24) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 6,335 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(25) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 5,806 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(26) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 5,206 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(27) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company"). Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(28) | The stock options are exercisable according to the vesting schedule. The shares vest in four successive equal annual installments upon Mr. Roth?s completion of each year of service with the Company over a four-year period measured from the April 29, 2003 issue date of the stock options. Therefore, 11,406 shares of Common Stock of the Company became exercisable on April 29, 2004, April 29, 2005, April 29, 2006 and on April 29, 2007. |