-----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, HeulSXTkl376wiWPglBKt3igJNeA5srhf8NJiqy0z5krSL6iu6P8w7aqR5kGNexC JOyaSMqFNusOz8+mXAWk4A== 0000092472-00-000002.txt : 20000211 0000092472-00-000002.hdr.sgml : 20000211 ACCESSION NUMBER: 0000092472-00-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWEST WATER CO CENTRAL INDEX KEY: 0000092472 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 951840947 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-08176 FILM NUMBER: 529995 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVENUE STREET 2: SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 FORMER COMPANY: FORMER CONFORMED NAME: SUBURBAN WATER SYSTEMS DATE OF NAME CHANGE: 19751202 COMPANY DATA: COMPANY CONFORMED NAME: HUENNEKENS DONOVAN D CENTRAL INDEX KEY: 0001063320 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: HQT HOMES STREET 2: 13821 NEWPORT AVE STE 120 CITY: TUSTIN STATE: CA ZIP: 92780 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: HQT HOMES STREET 2: 13821 NEWPORT AVE STE 120 CITY: TUSTIN STATE: CA ZIP: 92780 4 1 FORM 4 - JANUARY 31, 2000 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person HUENNEKENS, DONOVAN D. HQT HOMES 13821 NEWPORT AVENUE SUITE 120 TUSTIN, CA 92780 USA 2. Issuer Name and Ticker or Trading Symbol SOUTHWEST WATER COMPANY SWWC 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year January 31, 2000 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock, $0.01 par val|01/19/|M | |3,099 |A |$6.25 | | | | ue |00 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|01/20/|R |V|115 |A |$14.25 |30,555 |D |Joint Trust\1 | ue |00 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Stock Option (Right to|$6.25 |2/01/|J | |3,099 |A |/1 |2/02/|Common Stock|3,099 | | |D | | Buy) | |90 | | | | | |00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.25 |1/19/|M | |3,099 |D |/1 |2/02/|Common Stock|3,099 |$6.25 |0 |D | | Buy) | |00 | | | | | |00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.25 |3/22/|A | |3,099 |A |/2 |3/12/|Common Stock|3,099 | |3,099 |D | | Buy) | |91 | | | | | |01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.93 |3/28/|A | |1,486 |A |/3 |3/29/|Common Stock|1,486 | |1,486 |D | | Buy) | |94 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.35 |5/22/|A | |2,362 |A |/4 |5/23/|Common Stock|2,362 | |2,362 |D | | Buy) | |97 | | | | | |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.60 |5/28/|A | |2,362 |A |/5 |05/29|Common Stock|2,362 | |2,362 |D | | Buy) | |98 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$10.00 |5/27/|A | |2,362 |A |/6 |5/28/|Common Stock|2,362 | |2,362 |D | | Buy) | |99 | | | | | |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1 Granted under SWWC's Employee Stock Purchase Plan issued under old Rule 16b-3. Exercisable @ 1/5 a year beginning 2/01/91. /2 Exercisable @ 1/5 a year beginning 3/12/92. /3 Exercisable @ 1/5 a year beginning 3/28/95. /4 Granted under SWWC's Stock Option Plan for Non-employee Directors. Exercisable @ 1/2 a year beginning 5/22/98. 1,2,3, 4 and 5 all adjusted for stock dividends/splits on 1/20/96, 1/20/97, 1/20/98, 10/20/98 and 10/20/99. /5 Granted under SWWC's Stock Option Plan for Non-employee Directors. Exercisable @ 1/2 a year beginning 5/28/99. /6 Granted under SWWC's Stock Option Plan for Non-employee Directors. Exercisable @ 1/2 a year beginning 5/27/00. /1, /2, /3, /4, /5 and /6 adjusted for a 3-for-2 stock split (dividend) on 10/20/99. SIGNATURE OF REPORTING PERSON \s\ Donovan D. Huennekens DATE February 4, 2000 -----END PRIVACY-ENHANCED MESSAGE-----