4 1 edgar.txt FORM 4 - APRIL 30, 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 MOERBEEK, PETER J. 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 April 30, 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) CFO and Secretary 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| | | | | | |18,592 (1) |D |J/Trust | 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 |$2.82 |8/24/|A | |42,500 |A |/2 |8/25/|Common Stock|42,500 | |42,500 |D | | (Right to Buy) | |94 | | | | | |04 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$3.85 |2/8/9|A | |18,750 |A |/3 |2/9/0|Common Stock|18,750 | |18,750 |D | | (Right to Buy) | |6 | | | | | |6 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$5.39 |2/12/|A | |19,687 |A |/4 |2/13/|Common Stock|19,687 | |19,687 |D | | (Right to Buy) | |97 | | | | | |07 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$6.83 |1/27/|A | |46,875 |A |/5 |1/28/|Common Stock|46,875 | |46,875 |D | | (Right to Buy) | |98 | | | | | |08 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$8.066 |2/4/9|A | |46,250 2,50|A,D|/6 |2/5/0|Common Stock|43,750 | |43,750 |D | | (Right to Buy) | |9 | | |0 | | |9 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$7.80 |6/1/9|A | |18,750 |A |/7 |6/2/9|Common Stock|18,750 | |18,750 |D | | (Right to Buy) | |9 | | | | | |0 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$9.07 |8/5/9|A | |18,750 |A |/8 |8/6/0|Common Stock|18,750 | |18,750 |D | | (Right to Buy) | |9 | | | | | |9 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.65 |1/13/|A | |42,500 |A |/9 |1/14/|Common Stock|42,500 | |42,500 |D | | (Right to Buy) | |00 | | | | | |10 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.25 |2/8/0|A | |43,000 |A |/10 |2/9/0|Common Stock|43,000 | |43,000 |D | | (Right to Buy) | |1 | | | | | |8 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(287,942) | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes 11 shares acquired in April under the SWWC Employee Stock Purchase Plan and 92 shares acquired in April prusuant to the SWWC Dividend Reinvestment Plan. /1, /2, /3, /4, /5,/6, /7, and 8 adjusted for stock dividends/splits on 1/20/96, 1/20/97, 1/20/98, 10/20/98, 10/20/99 and 01/19/01. /2 Exercisable @ 1/5 a year beginning 8/24/95. /3 Exercisable @ 1/5 a year beginning 2/8/97. /4 Exercisable @ 1/5 a year beginning 2/12/98. /5 Exercisable @ 1/5 a year beginning 1/27/99. /6 Exercisable @ 1/5 a year beginning 2/4/00. /7 Exercisable @ 1/5 a year beginning 6/1/00. /8 Exercisable @ 1/5 a year beginning 8/5/00. /9 Exercisable @ 1/5 a year beginning 1/13/01. /10 Exercisable @ 1/5 a year beginning 2/8/02 SIGNATURE OF REPORTING PERSON /s/ Peter J. Moerbeek DATE May 7, 2001