-----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, R+2wP6UPLYFEpc4LJhx5Rl88zQBG0t91kJEil/ApFOqGstomioYfTpLd8BrAQ8tX UwpbbVWWio+4tV0PBrIJ/w== 0000092472-00-000016.txt : 20000510 0000092472-00-000016.hdr.sgml : 20000510 ACCESSION NUMBER: 0000092472-00-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000430 FILED AS OF DATE: 20000509 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: 622830 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: SWARTWOUT ROBERT L CENTRAL INDEX KEY: 0001063562 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4700 IRVING BLVD NW STREET 2: STE 201 CITY: ALBUQUERQUE STATE: NM ZIP: 87114 BUSINESS PHONE: 6269151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVENUE STREET 2: SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 4 1 FORM 4 - APRIL 30, 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 SWARTWOUT, ROBERT L. New Mexico Utilities, Inc. 4700 Irving Boulevard, N.W., Suite 201 Albuquerque, NM 87114 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 April 30, 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) President of New Mexico Utilities, a subsidiary of SWWC 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 valu|04/01/|I |V|15 |A |$9.6939 | | | | e |00 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock $0.01 par valu|04/20/|R |V|43 |A |$10.6185 |7,676 |D |Jt.Ten. /1 | e |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|$5.64 |03/23|A | |6,199 |A |/2 |3/24/|Common Stock|6,199 | |6,199 |D | | Buy) | |/92 | | | | | |02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.93 |03/29|A | |1,963 |A |/3 |3/29/|Common Stock|1,963 | | | | | Buy) | |/94 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Exercise|$9.29 |1/23/|M | |315 |D | |3/29/|Common Stock|315 | | | | | ) | |96 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Exercise|$7.74 |4/21/|M | |756 |D | |3/29/|Common Stock|756 | | | | | ) | |97 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$7.37 |4/21/|M | |397 |D |/3 |3/29/|Common Stock|397 | |742 |D | | Buy/Exercise) | |98 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.43 |3/14/|A | |2,081 |A |/4 |3/15/|Common Stock|2,081 | | | | | Buy) | |95 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.57 | |M | |315 |D | |3/15/|Common Stock|315 | | | | | Buy/Exercise) | | | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$7.14 |4/21/|M | |378 |D | |3/15/|Common Stock|378 | | | | | Buy/Exercise) | |97 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.80 |4/21/|M | |397 |D |/4 |3/15/|Common Stock|397 | |1,486 |D | | Buy/Exercise) | |98 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Opption (Right t|$4.81 |2/8/9|A | |3,266 |A |/5 |3/15/|Common Stock|3,266 | | | | | o Buy) | |6 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$9.03 |4/21/|M | |857 |D |/5 |3/15/|Common Stock|857 | |2,409 |D | | Buy/Exercise) | |97 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$10.10 |2/12/|A | |3,937 |A |/6 |2/13/|Common Stock|3,937 | |3,937 |D | | (Right to Buy) | |97 | | | | | |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$8.53 |1/27/|A | |3,750 |A |/7 |1/28/|Common Stock|3,750 | |3,750 |D | | (Right to Buy) | |98 | | | | | |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$10.083 |2/04/|A | |4,200 |A |/8 |02/05|Common Stock|4,200 | |4,200 |D | | (Right to Buy) | |99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$14.563 |1/13/|A | |2,000 |A |/9 |1/14/|Common Stock|2,000 | |2,000 |D | | (Right to Buy) | |00 | | | | | |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1, /2, /3, /4, /5, /6 and /7 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 3/23/93. /3 Exercisable @ 1/5 a year beginning 3/28/95. /4 Exercisable @ 1/5 a year beginning 3/14/96. /5 Exercisable @ 1/5 a year beginning 2/8/97. /6 Exercisable @ 1/5 a year beginning 2/12/98. /7 Exercisable @ 1/5 a year beginning 1/27/99. /7 Exercisable @ 1/5 a year beginning 2/4/00. /8 Exercisable @ 1/5 a year beginning 1/13/01. SIGNATURE OF REPORTING PERSON /s/ Robert L. Swartwart DATE May 5, 2000 -----END PRIVACY-ENHANCED MESSAGE-----