-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TOkshvYSPJkokD3k2LN0fs9gTsBAWse2MMNH/UMZL6lH7sSwghh0koO6FqzRfwJJ 5fFs9VZY0zFokMf2fmkOkA== 0000950157-01-500778.txt : 20020410 0000950157-01-500778.hdr.sgml : 20020410 ACCESSION NUMBER: 0000950157-01-500778 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011106 FILED AS OF DATE: 20011113 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03437 FILM NUMBER: 1783165 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: 4 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 4 1 form_4.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] 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* RWE AKTIENGESELLSCHAFT - -------------------------------------------------------------------------------- (Last) (First) (Middle) Opernplatz 1, D-45129 - -------------------------------------------------------------------------------- (Street) Essen Germany - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol AMERICAN WATER WORKS COMPANY, INC. (NYSE: AWK) - -------------------------------------------------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an Entity (voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year 11/01 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [x] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [_] Form filed by One Reporting Person [X] Form filed by More than One Reporting Person - -------------------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ----------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - -------------------------------------------------------------------------------------------------------------------------------- Common Stock, par value J (see 1,802,600 A See Ex- 0 See Ex- See Ex- $1.25 per share (Common Stock) 11/06/01 Explanation planat- planation planation of Responses ion of of Responses of Re- below) Responses below sponses below below - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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). Page of 1 of 3 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Thames Water Aqua Holdings GmbH ("Parent") and the stockholders of American Water Works Company, Inc. ("AWW") that are parties thereto (the "Stockholders") entered into a Voting Agreement dated as of September 16, 2001 (the "Voting Agreement"). The Stockholders were required to enter into the Voting Agreement in order to induce Parent to enter into the Agreement and Plan of Merger dated as of September 16, 2001, among RWE Aktiengesellschaft ("RWE"), Parent, Apollo Acquisition Company ("Sub") and AWW providing for the merger of Sub with and into AWW, with AWW surviving the Merger as a wholly owned subsidiary of Parent. Parent and the stockholders of AWW that are parties thereto (the "Additional Stockholders") entered into a Joinder Agreement dated as of November 6, 2001 whereby the Additional Stockholders have agreed to be bound by all the provisions of the Voting Agreement, as Stockholders thereunder. By virtue of 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 25,989,476 shares of Common Stock subject to the Voting Agreement as of November 6, 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 Statement of Changes in Beneficial Ownership on Form 4 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 misstatments 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. 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. By /s/ Dr. Georg Muller 11/12/2001 ------------------------------------- ------------------------- Name: Dr. Georg Muller Date Title: General Counsel **Signature of Reporting Person By /s/ Dr. Heinz-Jurgen Telkamp 11/12/2001 ------------------------------------- ------------------------- Name: Dr. Heinz-Jurgen Telkamp Date Title: Vice President Accounting **Signature of Reporting Person Page 2 of 3 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: 11/06/01 Other Joint Filer: Thames Water Aqua Holdings GmbH Opernplatz 1, D-45128 Essen, GERMANY Signature of Reporting Person /s/ Dr. Richard R. Klein 11/12/2001 - ------------------------------- ---------- Name: Dr. Richard R. Klein Date Title: Managing Director /s/ Dr. Klaus Sturany 11/12/2001 - ------------------------------- ---------- Name: Dr. Klaus Sturany Date Title: Managing Director Page of 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----