Form 4 for AWK American Water Works
Accepted 2021-11-22 00:00:00 ET · period of report 2021-11-19 · accession 0001410636-21-000220 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-22 | 2021-11-19+ | AWK | Norton Cheryl | EVP, COO | S - Sale+OE | $172.72 | -6,444 | 12.0K | -35% | -$1.11M |
| DM | 2021-11-22 | 2021-11-19 | AWK | Norton Cheryl | EVP, COO | M - OptEx | $62.63 | +2,906 | 12.6K | +30% | +$182.0K |
| DM | 2021-11-22 | 2021-11-19 | AWK | Norton Cheryl | EVP, COO | M - OptEx | $0.00 | -2,906 | 0 | -100% | $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 | 2021-11-22 | S | D | 776 | $172.49 | 8,467 | D | — | — | |
| 2 | Common | Common Stock | 2021-11-22 | S | D | 2,762 | $172.00 | 9,243 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-19 | M | A | 2,315 | $65.15 | 14,911 | D | — | — | |
| 4 | Common | Common Stock | 2021-11-19 | S | D | 2,906 | $173.47 | 12,005 | D | — | — | (F2) The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.47 to $173.48, inclusive. The reporting person undertakes to provide to the Company, any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above. |
| 5 | Common | Common Stock | 2021-11-19 | M | A | 591 | $52.75 | 12,596 | D | — | — | (F1) Includes 105 shares acquired pursuant to the automatic reinvestment in shares of common stock of American Water Works Company, Inc. (the "Company") of cash dividends paid on Company common stock to the reporting person, received since the reporting person's last Form 4 report. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2021-11-19 | M | D | 591 | $0.00 | 0 | D | $52.75 · — to 2021-12-31 | 591 Common Stock | (F3) This option award vested in three equal installments on January 1, 2016, 2017 and 2018. |
| 7 | Derivative | Employee Stock Option (right to buy) | 2021-11-19 | M | D | 2,315 | $0.00 | 0 | D | $65.15 · — to 2022-12-31 | 2,315 Common Stock | (F4) This option award vested in three equal installments on January 1, 2017, 2018 and 2019. |