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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 | ||||||||
Employee Stock Option (right to buy) | $ 21.5 | 05/13/2013 | 05/13/2013 | M | 221 | (1) | 12/31/2013 | Common Stock | 221 | $ 0 | 55,246 | D | |||
Employee Stock Option (right to buy) | $ 21.5 | 05/13/2013 | 05/13/2013 | M | 358 | (2) | 12/31/2014 | Common Stock | 358 | $ 0 | 54,888 | D | |||
Employee Stock Option (right to buy) | $ 20.7 | 05/13/2013 | 05/13/2013 | M | 2,285 | (3) | 12/31/2015 | Common Stock | 2,285 | $ 0 | 52,603 | D | |||
Employee Stock Option (right to buy) | $ 22.31 | 05/13/2013 | 05/13/2013 | M | 14,449 | (4) | 12/31/2016 | Common Stock | 14,449 | $ 0 | 38,154 | D | |||
Employee Stock Option (right to buy) | $ 27.08 | 05/13/2013 | 05/13/2013 | M | 8,950 | (5) | 12/31/2017 | Common Stock | 8,950 | $ 0 | 29,204 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pape Kathy L 1025 LAUREL OAK ROAD VOORHEES, NJ 08043 |
President, PA American Water |
/s/ Karen K. Pettiford-Wilson by Power of Attorney previously filed | 05/15/2013 | |
**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) | The Option Award granted on April 22, 2008, representing a right to purchase a total of 10,034 shares at $21.50, became exercisable on January 1, 2010. |
(2) | The Option Award granted on April 22, 2008, representing a right to purchase a total of 11,295 shares at $21.50, became exercisable on January 1, 2011. |
(3) | The Option Award granted on February 20, 2009, representing a right to purchase a total of 20,177 shares at $20.70, became exercisable on January 1, 2010, 2011 and 2012. |
(4) | The Option Award granted on February 25, 2010, representing a right to purchase a total of 16,816 shares at $22.31, became exercisable on January 1, 2011, 2012 and 2013. |
(5) | The Option Award granted on February 24, 2011, representing a right to purchase a total of 15,029 shares at $27.08, became exercisable on January 1, 2012, 2013 and 2014. |