-----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, S3fbM5OJvXma6PowTO2xtm4hRn0UXmfCzgeN/SJrfV6ogCjuoLkIP7J+SSgzC/EJ gxvwVrkrmFC/c/GDNt7Fsw== 0000092472-01-500002.txt : 20010514 0000092472-01-500002.hdr.sgml : 20010514 ACCESSION NUMBER: 0000092472-01-500002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010430 FILED AS OF DATE: 20010511 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: 1629209 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: 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: GALLARDA MAURICE W CENTRAL INDEX KEY: 0001107485 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 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 edgar.txt FORM 4 - APRIL 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 GALLARDA, MAURICE W. Southwest Water Company 225 N. Barranca Avenue, Suite 200 West Covina, CA 91791-1605 USA 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 2001 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) Vice President of New Business Development 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|04/30/|S | |1,638 |D |$12.50-12.5|5 (1) |D | | ue |01 | | | | |3 | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 Par Val| | | | | | | | | | ue | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 Par Val| | | | | | | | | | 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)| | ___________________________________________________________________________________________________________________________________| Employee Stock Option |$7.80 |02/04|A | |8,437 |A |/1 |02/05|Common Stock|8,437 | |8,437 |D | | (Right to Buy) | |/99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$9.06 |08/05|A | |6,562 |A |/2 |08/06|Common Stock|6,562 | |6,562 |D | | (Right to Buy) | |/99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.65 |01/15|A | |9,375 |A |/3 |01/16|Common Stock|9,375 | |9,375 |D | | (Right to Buy) | |/00 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.25 |01/08|A | |15,000 |A |/4 |01/09|Common Stock|15,000 | |15,000 |D | | (Right to Buy) | |/01 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(39,374) | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes 472 shares acquired in April under the SWWC Employee Stock Purchase Plan and 5 shares acquired in April pursuant to the SWWC Dividend Reinvestment Plan. /1, /2 and /3 adjusted for stock splits/stock dividends on 10/20/99 and 01/19/01. /1 - Exercisable @ 1/5 a year beginning 2/4/00. /2 - Exercisable @ 1/5 a year beginning 8/5/00. /3 - Exercisable @ 1/5 a year beginning 1/15/01. /4 - Exercisable @ 1/5 a year beginning 2/8/01. SIGNATURE OF REPORTING PERSON /s/ Maurice W. Gallarda DATE May 8, 2001 -----END PRIVACY-ENHANCED MESSAGE-----