0000766829-17-000008.txt : 20170105 0000766829-17-000008.hdr.sgml : 20170105 20170105114018 ACCESSION NUMBER: 0000766829-17-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170103 FILED AS OF DATE: 20170105 DATE AS OF CHANGE: 20170105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SJW GROUP CENTRAL INDEX KEY: 0000766829 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 770066628 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 110 W. TAYLOR STREET CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 4082797800 MAIL ADDRESS: STREET 1: 110 W. TAYLOR STREET CITY: SAN JOSE STATE: CA ZIP: 95110 FORMER COMPANY: FORMER CONFORMED NAME: SJW CORP DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROTH W RICHARD CENTRAL INDEX KEY: 0001245289 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08966 FILM NUMBER: 17509524 MAIL ADDRESS: STREET 1: 110 W. TAYLOR STREET CITY: SAN JOSE STATE: CA ZIP: 95110 4 1 wf-form4_148363440517769.xml FORM 4 X0306 4 2017-01-03 0 0000766829 SJW GROUP SJW 0001245289 ROTH W RICHARD 110 W TAYLOR STREET SAN JOSE CA 95110 1 1 0 0 President & CEO Common Stock 2017-01-03 4 A 0 2223 41.94 A 138928 D Common Stock 2017-01-03 4 F 0 3474 55.14 D 135454 D Common Stock 2017-01-03 5 G 0 E 5433 0 D 130021 D Common Stock 2017-01-03 5 G 0 E 5433 0 A 99847 I By the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated Dec. 17, 2004 Common Stock 18300 I By Separate Property Trust The securities represent deferred shares of the issuer's common stock credited to the reporting person's deferred compensation account pursuant to dividend equivalent rights. Those rights resulted initially in the addition of cash sums to the account equal to the dividends which would have been paid during the 2016 calendar year on the deferred stock credited to such account had that stock actually been issued and outstanding on each dividend payment date, and the accumulated sums were then converted into additional shares of deferred stock on January 3, 2017 based on the average of the closing selling prices of the issuer's common stock on each of the dates during the 2016 calendar year on which actual dividends on the common stock were paid. Includes 21,598 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Represents 3,474 shares of common stock withheld by the issuer to satisfy the reporting person's tax withholding obligations with respect to an aggregate of 8,907 shares of common stock underlying restricted stock units ("RSUs") that vested and became issuable on January 3, 2017 pursuant to the terms of the January 2, 2014 and August 4, 2014 Restricted Stock Issuance Agreements between the issuer and the reporting person. The issuable shares were previously reported as Table I securities at the time the RSUs were granted, and accordingly the issuance of those shares is not a reportable transaction on this Form 4. Includes 5,433 shares of the issuer's common stock, 12,691 shares of common stock underlying RSUs, which will vest and become issuable in accordance with their terms, and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Represents an aggregate of 5,433 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of RSUs described in footnote 3 above. Includes 12,691 shares of common stock underlying RSUs, which will vest and become issuable in accordance with their terms and 117,330 shares of the issuer's common stock underlying deferred restricted stock. Includes an aggregate of 5,433 shares of common stock that were issued and transferred to the W. Richard Roth and Viviane L. Roth Community Property Revocable Trust dated December 17, 2004 immediately following the vesting of RSUs described in footnote 3 above. /s/ Suzy Papazian Attorney-in-Fact for W. Richard Roth 2017-01-04