-----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, BBB/FiKQ1L74F6JGsKiJMJuKzNxhvDH7mlu/1J8PYP9MezggXUrkJpURFmQ/MQBd J70jxCypDEf23XgU0LuWQQ== 0000092472-00-000003.txt : 20000211 0000092472-00-000003.hdr.sgml : 20000211 ACCESSION NUMBER: 0000092472-00-000003 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: 529999 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: MOERBEEK PETER J CENTRAL INDEX KEY: 0001063315 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: STE 200 CITY: W COVINA STATE: CA ZIP: 91791 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVE STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 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 MOERBEEK, PETER J. SOUTHWEST WATER COMPANY 225 North Barranca Avenue Suite 200 West Covina, CA 91791 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) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) V.P. Finance, CFO and Secretary 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|01/01/|I |V|12 |A |$12.70 | | | | ue |00 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|01/20/|R |V|50 |A |$14.25 |11,941* |D |Joint Trust/1 | ue |00 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Comon Stock, $0.01 par valu| | | | | | | | | | e | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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)| | ___________________________________________________________________________________________________________________________________| Employee Stock Option |$3.53 |8/24/|A | |29,767 |A |/2 |8/25/|Common Stock|29,767 | |29,767 |D | | (Right to Buy) | |94 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$4.81 |2/8/9|A | |13,938 |A |/3 |2/9/0|Common Stock|13,938 | |13,938 |D | | (Right to Buy) | |6 | | | | | |6 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$10.10 |2/12/|A | |15,750 |A |/4 |2/13/|Common Stock|15,750 | |15,750 |D | | (Right to Buy) | |97 | | | | | |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$8.53 |1/27/|A | |37,500 |A |/5 |1/28/|Common Stock|37,500 | |37,500 |D | | (Right to Buy) | |98 | | | | | |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$10.08 |2/4/9|A | |37,500 |A |/6 |2/5/0|Common Stock|37,500 | |37,500 |D | | (Right to Buy) | |9 | | | | | |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$9.75 |6/1/9|A | |15,000 |A |/7 |6/2/0|Common Stock|15,000 | |15,000 |D | | (Right to Buy) | |9 | | | | | |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.33 |8/5/9|A | |15,000 |A |/8 |8/6/0|Common Stock|15,000 | |15,000 |D | | (Right to Buy) | |9 | | | | | |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$14.563 |1/13/|A | |34,000 |A |/9 |1/14/|Common Stock|34,000 | |34,000 |D | | (Right to Buy) | |00 | | | | | |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1, /2, /3, /4, /5,/6, /7, and 8 adjusted for stock dividends/splits on 1/20/96, 1/20/97, 1/20/98, 10/20/98 and 10/20/99. /2 Exercisable @ 1/5 a year beginning 8/24/95. /3 Exercisable @ 1/5 a year beginning 2/8/97. /4 Exercisable @ 1/5 a year beginning 2/12/98. /5 Exercisable @ 1/5 a year beginning 1/27/99. /6 Exercisable @ 1/5 a year beginning 2/4/00. /7 Exercisable @ 1/5 a year beginning 6/1/00. /8 Exercisable @ 1/5 a year beginning 8/5/00. /9 Exercisable @ 1/5 a year beginning 1/13/01. * 11,941 includes 3 shares gained during the transfer from broker held shares into the direct account held by ChaseMellon Shareholder Services for The Moerbeek Family Trust. SIGNATURE OF REPORTING PERSON /s/ Peter J. Moerbeek DATE February 4, 2000 -----END PRIVACY-ENHANCED MESSAGE-----