Form 4 for HTO H2O AMERICA
Accepted 2022-03-03 00:00:00 ET · period of report 2020-03-03 · accession 0000766829-22-000075 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2022-03-03 | 2020-03-03+ | HTO | ARMSTRONG KATHARINE | Dir | G - Gift | $0.00 | -2,700 | 0 | -100% | $0 |
| M | 2022-03-03 | 2021-08-31+ | HTO | ARMSTRONG KATHARINE | Dir | G - Gift | $0.00 | -1,083 | 6,266 | -15% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2020-03-03 | G | D | 1,584 | $0.00 | 1,116 | I By Katharine Armstrong as Trustee for the Katharine Armstrong Love Exempt Trust U/A/D 6/30/2009 | — | — | (F1) Reflects a gift of 1,584 shares to the reporting person's spouse on March 3, 2020 that was not previously reported. (F2) Reflects total number of shares owned by the Katharine Armstrong Love Exempt Trust U/A/D 6/30/2009 (the "Trust") as of the filing date of this report prior to the gift transaction reported herein as explained in footnote (3) below, and such number reflects certain transfers and sales of shares as previously reported by the reporting on Forms 4 after the gift transaction on March 3, 2020. |
| 2 | Common | Common Stock | 2020-11-18 | G | D | 1,116 | $0.00 | 0 | I By Katharine Armstrong as Trustee for the Katharine Armstrong Love Exempt Trust U/A/D 6/30/2009 | — | — | (F3) The reported transaction corrects an earlier Form 4 filed on December 2, 2020, which erroneously reported that the reporting person transferred 1,116 shares from her direct holdings, and instead the reporting person transferred the shares held indirectly in the Trust to the recipients of the gifts. (F4) As of the filing date of this Form 4, the Trust does not beneficially own any shares of common stock of the issuer. |
| 3 | Common | Common Stock | 2021-08-31 | G | D | 361 | $0.00 | 6,988 | D | — | — | (F6) Reflects gift to the reporting person's children that was not previously reported. |
| 4 | Common | Common Stock | 2021-09-01 | G | D | 1 | $0.00 | 6,987 | D | — | — | (F6) Reflects gift to the reporting person's children that was not previously reported. |
| 5 | Common | Common Stock | 2021-09-02 | G | D | 721 | $0.00 | 6,266 | D | — | — | (F6) Reflects gift to the reporting person's children that was not previously reported. (F7) Includes 4,050 shares of the issuer's common stock, 1,216 shares of the issuer's common stock underlying restricted stock units which will vest and become issuable in accordance with their terms, and 1,000 shares of the issuer's common stock held in an IRA account. |