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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 | ||||||||
Performance Stock Units | (1) | 02/23/2012 | 02/23/2012 | M | 1,187 | (2) | 12/31/2011 | Common Stock | 1,187 | $ 0 | 4,287 | D | |||
Performance Stock Units | (1) | 02/23/2012 | 02/23/2012 | D | 15 | (3) | 12/31/2011 | Common Stock | 15 | $ 0 | 4,272 | D | |||
Performance Stock Units | (4) | 02/23/2012 | 02/23/2012 | A | 1,394 | (4) | 12/31/2014 | Common Stock | 1,394 | $ 0 | 5,666 | D | |||
Employee Stock Options (right to buy) | $ 34.12 | 02/23/2012 | 02/23/2012 | A | 12,766 | (5) | 12/31/2018 | Common Stock | 12,766 | $ 0 | 40,938 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Baker David K 1025 LAUREL OAK ROAD VOORHEES, NJ 08043 |
President, NJ American Water |
/s/ Karen K. Pettiford-Wilson by Power of Attorney previously filed | 02/27/2012 | |
**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) | Each performance stock unit represented a contingent right to receive one share of American Water Works Company, Inc.'s (the "Company") common stock, based on the Company's annual total stockholder return (TSR") relative to the performance of the other companies in the Dow Jones U.S. Utility Index over a three-year performance period. |
(2) | Represents the earned portion of the TSR performance stock units granted in 2009, which was based on the 30-day average stock price-at the beginning of the performance period and at the end of the three year performance period (15 business days before 12/31 and 15 days after 12/31). The number of performance stock units earned was 98.8 percent of the target. |
(3) | Represents the unearned portion of the TSR performance stock units granted in 2009, which was based on the 30-day average stock price-at the beginning of the performance period and at the end of the three year performance period (15 business days before 12/31 and 15 days after 12/31). |
(4) | Each performance stock unit represents a contingent right to receive one share of American Water's (the "Company") common stock. The actual number of performance stock units that may be earned will be based on the Company's annual total stockholder return ("TSR") relative to the performance of the other companies in the Dow Jones U.S. Utility Index over the three-year performance period beginning on January 1, 2012 and ending December 31, 2014. The number of performance stock units shown in column 5 is equal to the target number of performance stock units that may be earned. |
(5) | The options vest in three equal installments on January 1, 2013, 2014 and 2015. |