-----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, VenDwypNJoRvZ2VQAva1vP/yPDHdSLUZ7v8DGnrODcPW7fgcknH9WmDLPre2lqgv oaAQM5c6krUcnzHo+B4zXw== 0000092472-01-000006.txt : 20010212 0000092472-01-000006.hdr.sgml : 20010212 ACCESSION NUMBER: 0000092472-01-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010209 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: 1530683 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: KELTON RICHARD CENTRAL INDEX KEY: 0001063321 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: BOLLENBACHER & KELTON INC STREET 2: 2716 OCEAN PARK BLVD STE 3006 CITY: SANTA MONICA STATE: CA ZIP: 90405-5207 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: BOLLENBACHER & KELTON STREET 2: 2716 OCEAN PARK BLVD STE 3006 CITY: SANTA MONICA STATE: CA ZIP: 90405-5207 4 1 0001.txt FORM 4 - JANUARY 31, 2001 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 KELTON, RICHARD BOLLENBACHER & KELTON 2716 Ocean Park Boulevard Suite 3006 Santa Monica, CA 90405-5207 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, 2001 5. If Amendment, Date of Original (Month/Year) January 31, 2001 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|01/12/|M | |5,730 |A |$3.14-5.00 |68,355 |D | | ue |01 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val| | | | | | |21,656 |I |/1 | ue | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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|$5.00 |01/12|M | |3,873 |D |/2 |03/12|Common Stock|3,873 |$5.00 |0 |D | | Buy) | |/01 | | | | | |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.14 |03/28|M | |1,857 |D |/3 |03/29|Common Stock|1,857 |$3.14 |0 |D | | Buy) | |/94 | | | | | |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$5.08 |05/22|A | |2,952 |A |/4 |05/22|Common Stock|2,952 | |2,952 |D | | Buy) | |/97 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.88 |05/28|A | |2,952 |A |/5 |05/29|Common Stock|2,952 | |2,952 |D | | Buy) | |/98 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.00 |05/27|A | |2,952 |A |/6 |05/28|Common Stock|2,952 | |2,952 |D | | Buy) | |/99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|10.00 |05/23|A | |6,250 |A |/7 |05/24|Common Stock|6,250 | |6,250 |D | | Buy) | |/00 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(15,106) | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1, /2, /3, /4, /5, /6 and 7 Adjusted for stock dividends/splits on 01/02/96, 01/02/97, 01/02/98, 10/20/98, 10/20/99 and 01/19/01. /1 Owned by The Kelton Foundation, a charitable corporation. Mr. Kelton disclaims any beneficial (pecuniary) interest in these shares. As President of The Kelton Foundation, Mr. Kelton possesses sole voting control of these shares. /2 Exercisable @ 1/5 a year beginning 03/11/92. /3 Exercisable @ 1/5 a year beginning 03/28/95. /4 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/22/98. /5 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/28/99. /6 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/27/00. /7 Granted under SWWC's Amended & Restated Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/24/01. SIGNATURE OF REPORTING PERSON /s/ Richard Kelton DATE February 8, 2001 -----END PRIVACY-ENHANCED MESSAGE-----