-----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, FhJOWV9X3AhmWTu8Z52Un5dZoHT1vash2doERNEW80+gB58TzF947pjTVCdtOxX6 L1Kbsj38z5i7jgrKsQGZ8Q== 0000092472-01-000001.txt : 20010123 0000092472-01-000001.hdr.sgml : 20010123 ACCESSION NUMBER: 0000092472-01-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010109 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: 1503842 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: GARNIER ANTON C CENTRAL INDEX KEY: 0000937852 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AAVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 4 1 0001.txt FORM 4 - DECEMBER 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 GARNIER, ANTON C. 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 December 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 (X) Officer (give title below) ( ) Other (specify below) President, Chief Executive Officer and Chairman of the Board 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| | | | | | |43,411 |D |/1 | ue | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val| | | | | | |101,658 |D | /1 Joint Trust | ue | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|12/11-|P | |49,464 |D |$13.63-13.7|* | |*Note on Side 2 | ue |21/00 | | | | |5 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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|$6.65 |1/29/|A | |29,767 |A |/2 |1/30/|Common Stock|29,767 | |29,767 |D | | Buy) | |91 | | | | | |01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.63 |3/28/|A | |19,000 |A |/3 |1/29/|Common Stock|19,000 | |19,000 |D | | Buy) | |94 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.63 |3/14/|A | |19,000 |A |/4 |3/15/|Common Stock|19,000 | |19,000 |D | | Buy) | |95 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$4.81 |2/8/9|A | |23,625 |A |/5 |2/9/0|Common Stock|23,625 | |23,625 |D | | Buy) | |6 | | | | | |6 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$10.10 |2/12/|A | |23,625 |A |/6 |2/13/|Common Stock|23,625 | |23,625 |D | | Buy) | |97 | | | | | |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.53 |1/27/|A | |46,875 |A |/7 |1/28/|Common Stock|46,875 | |46,875 |D | | Buy) | |98 | | | | | |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$10.08 |2/4/9|A | |45,000 |A |/8 |2/5/0|Common Stock|45,000 | |45,000 |D | | Buy) | |9 | | | | | |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$14.563 |1/13/|A | |45,000 |A |/9 |1/14/|Common Stock|45,000 | |45,000 |D | | Buy) | |00 | | | | | |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: *Note Front Side: Between December 11-December 21, 2000 a total of 261,518 shares of SWWC Common stock were sold by Valinda Engineering Corporation, of which Mr. Garnier's proportionate interest included 49,464 of the shares. The balance of SWWC Common shares owned by Valinda Engineering is 17,500, of which Mr. Garnier holds a proportionate interest. /2 Exercisable @ 1/5 a year beginning 1/29/92. /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. /8 Exercisable @ 1/5 a year beginning 2/4/00. /9 exercisable @ 1/5 a year beginning 1/13/01. /1, /3, /4, /5, /6, /7, /8and /9 adjusted for stock dividends/splits on 1/20/96, 1/20/97, 1/20/98, 10/20/98 and 10/20/99. SIGNATURE OF REPORTING PERSON \s\ Anton C. Garnier DATE January 8, 2001
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