Robert J. Sprowls - Mar 15, 2024 Form 4 Insider Report for AMERICAN STATES WATER CO (AWR)

Role
President & CEO
Signature
/s/ Robert J Sprowls
Stock symbol
AWR
Transactions as of
Mar 15, 2024
Transactions value $
$566,817
Form type
4
Date filed
3/15/2024, 08:27 PM
Previous filing
Feb 13, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AWR Common Shares Award $1.86K +26 +0.02% $71.64 168K Mar 1, 2024 Direct F1
transaction AWR Common Shares Award $0 +856 +0.51% $0.00 168K Mar 5, 2024 Direct F2
transaction AWR Common Shares Award $0 +6.43K +3.81% $0.00 175K Mar 13, 2024 Direct
transaction AWR Common Shares Award $1.15M +16K +9.12% $71.79 191K Mar 15, 2024 Direct
transaction AWR Common Shares Tax liability -$580K -8.08K -4.23% $71.79 183K Mar 15, 2024 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Der units credited on 03/01/2024 at FMV
F2 Updated DRIP
F3 8080.6270 shares withheld to satisfy tax liability