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 SWARTWOUT, ROBERT L. New Mexico Utilities, Inc. 4700 Irving Boulevard, N.W., Suite 201 Albuquerque, NM 87114 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) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President of New Mexico Utilities, a subsidiary of SWWC 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 valu| | | | | | |9,861 (1) |D |Jt. Ten | e | | | | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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|$4.51 |03/23|A | |7,748 |A |/2 |03/24|Common Stock|7,748 | |7,748 |D | | Buy) | |/92 | | | | | |/02 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.14 |03/29|A | |927 |A |/3 |03/29|Common Stock|927 | |927 |D | | Buy) | |/94 | | | | | |/04 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$2.90 |03/14|A | |1,857 |A |/4 |03/15|Common Stock|1,857 | |1,857 |D | | Buy) | |/95 | | | | | |/05 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.85 |02/08|A | |3,011 |A |/5 |02/09|Common Stock|3,011 | |3,011 |D | | Buy) | |/96 | | | | | |/06 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$5.39 |02/12|A | |4,921 |A |/6 |02/13|Common Stock|4,921 | |4,921 |D | | Buy) | |/97 | | | | | |/07 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.83 |01/27|A | |4,687 |A |/7 |01/28|Common Stock|4,687 | |4,687 |D | | Buy) | |/98 | | | | | |/08 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.07 |02/04|A | |5,250 |A |/8 |02/05|Common Stock|5,250 | |5,250 |D | | Buy) | |/99 | | | | | |/09 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option(Right to |$11.65 |01/13|A | |2,500 |A |/9 |01/14|Common Stock|2,500 | |2,500 |D | | Buy) | |/00 | | | | | |/10 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$11.25 |02/08|A | |2,500 |A |/10 |02/09|Common Stock|2,500 | |(33,401) | | | Buy) | |/01 | | | | | |/08 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes 15 shares acquired in April under the SWWC Employee Stock Purchase Plan and 49 shares acquired in April pursuant to the SWWC Dividend Reinvestment Plan. /1, /2, /3, /4, /5, /6 and /7 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 3/23/93. /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. /10 Exercisable @ 1/5 a year beginning 2/8/02. SIGNATURE OF REPORTING PERSON /s/ Robert L. Swartwart DATE May 8, 2001