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 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 January 31, 2001 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|01/05/|M | |37,208 |A |$5.32 | | |/1 | ue |01 | | | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|01/05/|F | |22,996 |D |$16.25 |141,284 |D | /1 Joint Trust | ue |01 | | | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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|$5.32 |01/05|M | |37,208 |A | |1/30/|Common Stock|37,208 | |-0- | | | Buy) | |/01 | | | | | |01 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$2.90 |3/28/|A | |23,750 |A |/3 |1/29/|Common Stock|23,750 | |23,750 |D | | Buy) | |94 | | | | | |04 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$2.90 |3/14/|A | |23,750 |A |/4 |3/15/|Common Stock|23,750 | |23,750 |D | | Buy) | |95 | | | | | |05 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.85 |2/8/9|A | |29,531 |A |/5 |2/9/0|Common Stock|29,531 | |29,531 |D | | Buy) | |6 | | | | | |6 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.08 |2/12/|A | |29,531 |A |/6 |2/13/|Common Stock|29,531 | |29,531 |D | | Buy) | |97 | | | | | |07 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.83 |1/27/|A | |58,593 |A |/7 |1/28/|Common Stock|58,593 | |58,593 |D | | Buy) | |98 | | | | | |08 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.06 |2/4/9|A | |56,250 |A |/8 |2/5/0|Common Stock|56,250 | |56,250 |D | | Buy) | |9 | | | | | |9 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$11.65 |1/13/|A | |56,250 |A |/9 |1/14/|Common Stock|56,250 | |56,250 |D | | Buy) | |00 | | | | | |10 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(277,655) | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /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, 10/20/99 and 1/19/01. SIGNATURE OF REPORTING PERSON \s\ Anton C. Garnier DATE January 8, 2001