-----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, ILejCAmzzWU/+n1e0siHeIsYnCE2TkABy8ndrweM0z/sDHCb48zUHp+jsBV6AAc5 d8/3rRW9UgiQeFwmWLemFw== 0001182844-02-000001.txt : 20021120 0001182844-02-000001.hdr.sgml : 20021120 20021120165739 ACCESSION NUMBER: 0001182844-02-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021119 FILED AS OF DATE: 20021120 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: 02835106 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: POHL W TIMOTHY CENTRAL INDEX KEY: 0001182844 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O AMERICAN WATER WORKS CO INC STREET 2: 1025 LUAREL OAK RD P O BOX 1770 CITY: VOORHEES STATE: NJ ZIP: 08043 BUSINESS PHONE: 8563468200 MAIL ADDRESS: STREET 1: C/O AMERICAN WATER WORKS CO INC STREET 2: 1025 LAUREL OAK RD P O BOX 1770 CITY: VOORHEES STATE: NJ ZIP: 08043 4 1 edgar.htm 4 Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 OMB APPROVAL

    Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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(h) of the Investment Company Act of 1940

OMB Number: 3235-0287
Expires: January 31, 2005
Estimated average burden
hours per response. . .0.5

Filed By Romeo & Dye's Instant Form 4 Filer
www.section16.net

1. Name and Address of Reporting Person*

Pohl W. Timothy

2. Issuer Name and Ticker or Trading Symbol
American Water Works Company, Inc. - AWK

6. Relationship of Reporting Person(s)
to Issuer (Check all applicable)
    Director                                       10% Owner
X Officer (give title below)          Other (specify below)

General Counsel and Secretary                     

(Last)      (First)     (Middle)

1025 Laurel Oak Road
 

3. I.R.S. Identification Number
of Reporting Person,
if an entity (voluntary)

###-##-####

4. Statement for
Month/Day/Year
11/19/02

(Street)

Voorhees, NJ 08043

5. If Amendment,
Date of Original
(Month/Day/Year)
 		 7. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
    Form filed by More than One Reporting Person

(City)     (State)     (Zip)

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

2. Trans-
action
Date
(Month/ Day/
Year)

2A. Deemed
Execution
Date,
if any
(Month/Day/
Year)

3. Trans-
action Code
(Instr. 8)

4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 & 5)

5. Amount of
Securities
Beneficially
Owned Follow-
ing Reported Transactions(s)
(Instr. 3 & 4)

6. Owner-
ship Form:
Direct (D)
or Indirect (I)
(Instr. 4)

7. Nature of Indirect
Beneficial Ownership
(Instr. 4)

Code

V

Amount

(A)
or
(D)

Price

Common

 

 

 

 

 

 

 

14,466.3884

D

 

Common

 

 

 

 

 

 

 

1233.2184(1)

I

By 401(k)

Common

 

 

 

 

 

 

 

5472.8232(2)

I

By ESOP
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).

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 control number
FORM 4 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security

(Instr. 3)

2. Conver-
sion or
Exercise
Price of Derivative Security

3. Trans-
action Date

(Month/
Day/
Year)

3A. Deemed
Execution
Date,
if any
(Month/
Day/
Year)

4. Trans-
action
Code

(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4 & 5)

6. Date Exercisable
and Expiration
Date
(Month/Day/
Year)

7. Title and Amount of Underlying Securities
(Instr. 3 & 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of
Derivative
Securities
Beneficially
Owned
Following
Reported Transaction(s)
(Instr. 4)

10. Owner-
ship Form
of Deriv-
ative
Security:
Direct (D)
or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

V

(A)

(D)

Date Exer-cisable

Expira-
tion
Date

Title

Amount or Number of
Shares

Deferred Stock

 (3)

11/18/02

 

A(4)

 

26.68

 

 

 

Common Stock

26.68

$44.48

4872.099(5)

 

 

Explanation of Responses:

(1) Total has been adjusted to reflect shares acquired during 2002 through the Company's 401(k) Plan.
(2) Total has been adjusted to reflect shares acquired during 2002 through the Company's Employee Stock Ownership Plan.
(3) Deferred Compensation Plan. Payable on a one for one basis.
(4) Phantom Stock units credited under the Company Deferred Compensation Plan for employees.
(5) Total has been adjusted to include shares acquired prior to August 29th, 2002 under the Company's Deferred Compensation Plan at prices ranging from $43.01 to $43.93 per unit.
  By: /s/ W. Timothy Pohl
              
**Signature of Reporting Person		 11/19/02
Date

**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.

 
-----END PRIVACY-ENHANCED MESSAGE-----