1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Performance Stock Unit
|
Â
(2)
|
12/31/2014(3)
|
Common Stock
|
429
|
$
(2)
|
D
|
Â
|
Performance Stock Unit
|
Â
(4)
|
12/31/2015(3)
|
Common Stock
|
458
|
$
(4)
|
D
|
Â
|
Performance Stock Unit
|
Â
(5)
|
12/31/2016(3)
|
Common Stock
|
423
|
$
(5)
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
12/31/2018 |
Common Stock
|
1,310
(9)
|
$
34.12
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(7)
|
12/31/2019 |
Common Stock
|
1,384
(10)
|
$
39.45
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(8)
|
12/31/2020 |
Common Stock
|
2,464
|
$
44.06
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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 (i) 310 restricted stock units that settle in common stock of American Water Works Company, Inc. (the "Company"), on a one share per unit basis and vest in three equal installments on January 1, 2014, 2015 and 2016, less (A) 103 shares previously vested and disposed of, and (B) 41 shares withheld for taxes for remaining vested portion of such restricted stock units, and (ii) 300 restricted stock units that settle in common stock of the Company on a one share per unit basis and vest in three equal installments on January 1, 2015, 2016 and 2017, less 37 shares withheld for taxes for vested portion of such restricted stock units. |
(2) |
Each performance stock unit represents a contingent right to receive one share of common stock of the Company. The actual number of performance stock units that may be earned will be based on the Company's total stockholder return ("TSR") relative to the performance of the other companies in the Dow Jones U.S. Utilities Total Return 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 3 is equal to the target number of performance stock units that may be earned. |
(3) |
Represents the end of the performance period to which the performance stock units relate. |
(4) |
Each performance stock unit represents a contingent right to receive one share of common stock of the Company. The actual number of performance stock units that may be earned will be based on the Company's TSR relative to the performance of the other companies in the Dow Jones U.S. Utilities Total Return Index over the three-year performance period beginning on January 1, 2013 and ending December 31, 2015. The number of performance stock units shown in column 3 is equal to the target number of performance stock units that may be earned. |
(5) |
Each performance stock unit represents a contingent right to receive one share of common stock of the Company. The actual number of performance stock units that may be earned will be based on the Company's TSR relative to the performance of the other companies in the Dow Jones U.S. Utilities Total Return Index over the three-year performance period beginning on January 1, 2014 and ending December 31, 2016. The number of performance stock units shown in column 3 is equal to the target number of performance stock units that may be earned. |
(6) |
The options have vested. |
(7) |
The options vest in three equal installments on January 1, 2014, 2015 and 2016. |
(8) |
The options vest in three equal installments on January 1, 2015, 2016 and 2017. |
(9) |
The option award granted on February 23, 2012, representing a right to purchase 3,928 shares, have vested and the reporting person previously exercised and sold 2,618 shares. |
(10) |
The option award granted on February 21, 2013, representing a right to purchase 2,075 shares, vested in three equal installments on January 1, 2013, 2014 and 2015 and the reporting person previously exercised and sold 691 shares. |