0000950157-01-500574.txt : 20011009
0000950157-01-500574.hdr.sgml : 20011009
ACCESSION NUMBER: 0000950157-01-500574
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20010916
FILED AS OF DATE: 20010925
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: AMERICAN WATER WORKS CO INC
CENTRAL INDEX KEY: 0000318819
STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941]
IRS NUMBER: 510063696
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-03437
BUSINESS ADDRESS:
STREET 1: 1025 LAUREL OAK RD
CITY: VOORHEES
STATE: NJ
ZIP: 08043
BUSINESS PHONE: 6093468200
MAIL ADDRESS:
STREET 1: 1025 LAUREL OAK ROAD
CITY: VOORHEES
STATE: NJ
ZIP: 08043
COMPANY DATA:
COMPANY CONFORMED NAME: RWE AKTIENGESELLSCHAFT /ADR/
CENTRAL INDEX KEY: 0000942157
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
OWNER
STATE OF INCORPORATION: I8
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 3
BUSINESS ADDRESS:
STREET 1: OPERNPLATZ 1
STREET 2: 45128 ESSEN GERMANY
CITY: GERMANY
STATE: I8
ZIP: 10286
BUSINESS PHONE: 492011215150
MAIL ADDRESS:
STREET 1: OPERNPLATZ 1
STREET 2: 45128 ESSEN
CITY: GERMANY
3
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form3.txt
FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF 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(f) of the Investment Company Act of 1940
(Type or Print Responses)
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1. Name and Address of Reporting Person*
RWE AKTIENGESELLSCHAFT
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(Last) (First) (Middle)
Opernplatz 1, D-45128
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(Street)
Essen, GERMANY
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
09/16/01
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3. IRS or Social Security of Reporting Person (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
AMERICAN WATER WORKS COMPANY, INC. (NYSE: AWK)
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[ ] Director [X] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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6. If Amendment, Date of Original (Month/Day/Year)
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7. Individual or Joint/Group Filing (Check Applicable Line)
[ ] Form filed by One Reporting Person
[X] Form filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5)
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Common Stock, par value $1.25 per 0 See Explanation of See Explanation of Responses below
share ("Common Stock") Responses below
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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 5(b)(v).
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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Explanation of Responses:
(1) By virtue of the Voting Agreement dated as of September 16, 2001, among
Thames Water Aqua Holdings GmbH ("Parent") and the stockholders of American
Water Works Company, Inc. that are parties thereto (the "Voting
Agreement"), Parent may be deemed a beneficial owner pursuant to Section
13(d) of the Securities Exchange Act of 1934, as amended (the "Act"), of
the 24,186,876 shares of Common Stock subject to the Voting Agreement as of
September 16, 2001. By virtue of Parent being a wholly-owned subsidiary of
RWE Aktiengesellschaft ("RWE"), RWE may be deemed a beneficial owner
pursuant to Section 13(d) of the Act of any shares Parent may be deemed to
beneficially own. Pursuant to Rule 16a-1(a)(4) under the Act, RWE and
Parent hereby state that this Initial Statement of Benefical Ownership of
Securities on Form 3 shall not be deemed an admission that either RWE or
Parent is, for purposes of Section 16 of the Act or otherwise, the
beneficial owner of any equity securities of American Water Works Company,
Inc. Neither RWE nor Parent has any pecuniary interest in such shares of
Common Stock.
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
/s/ Georg Lambertz September 25, 2001
-------------------------------------------- -----------------------
Name: Georg Lambertz Date
Title: Senior Vice President Finance
/s/ Georg Muller September 25, 2001
-------------------------------------------- -----------------------
Name: Georg Muller Date
Title: General Counsel
**Signature of Reporting Person
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
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JOINT FILER INFORMATION
Title of Security: Common Stock, par value $1.25 per
share
Issuer Name and Ticker Symbol: American Water Works Company, Inc.
(NYSE: AWK)
Designated Filer: RWE Aktiengesellschaft
Date of Event Requiring Statement: 09/16/01
Other Joint Filer: Thames Water Aqua Holdings GmbH
Opernplatz 1, D-45128
Essen, GERMANY
Signature of Reporting Person
/s/ Dr. Richard R. Klein September 25, 2001
-------------------------------------------- -----------------------
Name: Dr. Richard R. Klein Date
Title: Managing Director
/s/ Dr. Klaus Sturany September 25, 2001
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Name: Dr. Klaus Sturany Date
Title: Managing Director
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