FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SJW CORP [ SJW ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/10/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 08/10/2007 | M | 15,035 | A | $14 | 149,102(1) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.38 | 149,002(2) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.36 | 148,902(3) | D | |||
Common Stock | 08/10/2007 | S | 300 | D | $38.34 | 148,602(4) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.29 | 148,502(5) | D | |||
Common Stock | 08/10/2007 | S | 200 | D | $38.27 | 148,302(6) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.26 | 148,202(7) | D | |||
Common Stock | 08/10/2007 | S | 200 | D | $38.25 | 148,002(8) | D | |||
Common Stock | 08/10/2007 | S | 400 | D | $38.24 | 147,602(9) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.21 | 147,502(10) | D | |||
Common Stock | 08/10/2007 | S | 800 | D | $38.2 | 146,702(11) | D | |||
Common Stock | 08/10/2007 | S | 700 | D | $38.18 | 146,002(12) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.17 | 145,902(13) | D | |||
Common Stock | 08/10/2007 | S | 200 | D | $38.16 | 145,702(14) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.15 | 145,602(15) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.13 | 145,502(16) | D | |||
Common Stock | 08/10/2007 | S | 500 | D | $38.12 | 145,002(17) | D | |||
Common Stock | 08/10/2007 | S | 300 | D | $38.11 | 144,702(18) | D | |||
Common Stock | 08/10/2007 | S | 1,000 | D | $38.1 | 143,702(19) | D | |||
Common Stock | 08/10/2007 | S | 2,100 | D | $38.09 | 141,602(20) | D | |||
Common Stock | 08/10/2007 | S | 100 | D | $38.08 | 141,502(21) | D | |||
Common Stock | 08/10/2007 | S | 200 | D | $38.06 | 141,302(22) | D | |||
Common Stock | 08/10/2007 | S | 400 | D | $38.04 | 140,902(23) | D | |||
Common Stock | 08/10/2007 | S | 500 | D | $38.03 | 140,402(24) | D | |||
Common Stock | 08/10/2007 | S | 529 | D | $38.02 | 139,873(25) | D | |||
Common Stock | 08/10/2007 | S | 600 | D | $38.01 | 139,273(26) | D | |||
Common Stock | 08/10/2007 | S | 5,206 | D | $38 | 134,067(27) | D | |||
Common Stock | 18,300 | I | By separate property trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $14 | 08/10/2007 | M | 15,035 | 04/29/2004(28) | 04/28/2013 | Common Stock | 15,035 | $0.00 | 9,071 | D |
Explanation of Responses: |
1. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 15,035 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
2. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
3. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,835 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
4. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
5. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
6. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,235 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
7. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 14,135 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
8. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 13,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
9. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 13,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
10. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 13,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
11. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 12,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
12. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
13. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,835 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
14. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
15. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
16. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 11,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
17. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 10,935 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
18. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 10,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
19. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 9,635 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
20. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 7,535 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
21. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 7,435 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
22. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 7,235 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
23. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 6,835 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
24. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 6,335 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
25. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 5,806 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
26. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 5,206 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
27. Includes 2,249 shares of Common Stock of SJW Corp. (the "Company"). Also includes 31,500 shares underlying restricted stock units and 100,318 shares of deferred restricted stock. These shares maybe subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at time of vesting or at a specified time thereafter (including termination of service with the issuer). |
28. The stock options are exercisable according to the vesting schedule. The shares vest in four successive equal annual installments upon Mr. Roth?s completion of each year of service with the Company over a four-year period measured from the April 29, 2003 issue date of the stock options. Therefore, 11,406 shares of Common Stock of the Company became exercisable on April 29, 2004, April 29, 2005, April 29, 2006 and on April 29, 2007. |
Remarks: |
/s/ W. Richard Roth | 08/14/2007 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |