AMERICAN WATER WORKS COMPANY,
INC.
Reported by
WARNOCK LOYD A
FORM 4/A
(Amended Statement of Changes in Beneficial Ownership)
Filed 07/15/20 for the Period Ending 02/21/20
Address | 1 WATER STREET |
CAMDEN, NJ, 08102-1658 | |
Telephone | 856-955-4001 |
CIK | 0001410636 |
Symbol | AWK |
Fiscal Year | 12/31 |
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FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or
Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
Warnock Loyd A | American Water Works Company, Inc. [ | _____ 10% Owner | |||||||||||||||||||||||||
AWK ] | _____ Director | ||||||||||||||||||||||||||
__X__ Officer (give title below) _____ Other (specify below) | |||||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | ||||||||||||||||||||||||
SVP,Chief Advisor-Reg.&ExtAffs | |||||||||||||||||||||||||||
1 WATER STREET | 2/21/2020 | ||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||||||||||||||||||||||
CAMDEN, NJ 08102-1658 | 2/25/2020 | _X _ Form filed by One Reporting Person | |||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form filed by More than One Reporting Person | ||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) or | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | |||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | |||||||||||||||||||||||
Direct (D) | Ownership | ||||||||||||||||||||||||||
or Indirect | (Instr. 4) | ||||||||||||||||||||||||||
(A) or | (I) (Instr. | ||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | ||||||||||||||||||||||
Common Stock | 2/21/2020 | S | 69.1723 (1) | D | $137.94 | 10276 | D | ||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||
1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. Code | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||||||||||
Security | Conversion | Date | Execution | (Instr. 8) | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | ||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | Acquired (A) or | Derivative Security | Security | Securities | Form of | Beneficial | |||||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | |||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Owned | Security: | (Instr. 4) | |||||||||||||||||||||||
Security | Following | Direct (D) | |||||||||||||||||||||||||
Date | Expiration | Title | Amount or Number of | Reported | or Indirect | ||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Shares | Transaction(s) | (I) (Instr. | |||||||||||||||||||
(Instr. 4) | 4) |
Explanation of Responses:
- This amended Form 4 is being filed to report this transaction, which had been inadvertently omitted from the original Form 4 filed by the reporting person on February 25, 2020 to report a separate transaction, and promptly after such omission was discovered.
Reporting Owners
Reporting Owner Name / Address | Relationships | ||||||
Director | 10% Owner | Officer | Other | ||||
Warnock Loyd A | |||||||
1 WATER STREET | SVP,Chief Advisor-Reg.&ExtAffs | ||||||
CAMDEN, NJ 08102-1658 | |||||||
Signatures | |||||||
/s/ Jeffrey M. Taylor, as attorney-in-fact for Loyd A. Warnock | 7/15/2020 | ||||||
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- 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).
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American Water Works Co. Inc. published this content on 15 July 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 15 July 2020 17:00:03 UTC