UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Form 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported) March 18, 2014

 

AMERICAN STATES WATER COMPANY

(Exact name of registrant as specified in its charter)

 

California

 

001-14431

 

95-4676679

(State or other jurisdiction of
incorporation or organization)

 

(Commission File Number)

 

(I.R.S. Employer Identification
No.)

 

630 East Foothill Blvd.

 

 

San Dimas, California

 

91773

(Address of principal executive
offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (909) 394-3600

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2 below):

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


 

Section 5-Corporate Governance and Management

 

Item 5.02.  Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Officers

 

On March 18, 2014, the Board of Directors of American States Water Company approved an amendment to the Amended and Restated 2008 Stock Incentive Plan prohibiting the repurchase of options by the Company without shareholder approval.  The Plan had previously only prohibited the repricing of options by the Company.

 

Section 9-Financial Statements and Exhibits

 

Item 9.01. Financial Statements and Exhibits

 

The following exhibit is furnished hereunder:

 

Exhibit 10.1:  Amended and Restated 2008 Stock Incentive Plan, as amended

 

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SIGNATURES

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

AMERICAN STATES WATER COMPANY

 

 

March 21, 2014

/s/ Eva G. Tang

 

Eva G. Tang

 

Senior Vice President-Finance, Chief Financial
Officer, Corporate Secretary and Treasurer

 

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EXHIBIT INDEX

 

Exhibit No.

 

Description

10.1

 

Amended and Restated 2008 Stock Incentive Plan, as amended

 

4