-----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, RuUCX6U+ufrUQPc1azjx6HcD8Tt7uR9i3bmkOexU6ZUEe4WjhxyDz73hdEEbfquz KagmThs1/Wc5comEDMNxoA== 0000092472-01-500025.txt : 20010808 0000092472-01-500025.hdr.sgml : 20010808 ACCESSION NUMBER: 0000092472-01-500025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010731 FILED AS OF DATE: 20010807 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: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 1699872 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: QUINN MICHAEL O CENTRAL INDEX KEY: 0001063563 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1211 CENTER COURT DR CITY: COVINA STATE: CA ZIP: 91724-3603 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 - 07/31/01 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 QUINN, MICHAEL O. Suburban Water Systems 1211 East Center Court Drive Covina, CA 91724 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 07/31/01 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 Suburban Water Systems, 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 val| | | | | | |16,867 (1) |D | | 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 |$2.90 |03/14|A | |6,603 |A |/2 |03/15|Common Stock|6,603 | |6,603 |D | | (Right to Buy) | |/95 | | | | | |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$3.85 |02/08|A | |7,087 |A |/3 |02/09|Common Stock|7,087 | |7,087 |D | | (Right to Buy) | |/96 | | | | | |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$5.39 |02/12|A | |6,151 |A |/4 |02/13|Common Stock|6,151 | |6,151 |D | | (Right to Buy) | |/97 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$6.83 |01/27|A | |5,858 |A |/5 |01/28|Common Stock|5,858 | |5,858 |D | | (Right to Buy) | |/98 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$8.07 |01/04|A | |6,562 |A |/6 |01/05|Common Stock|6,562 | |6,562 |D | | (Right to Buy) | |/99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.65 |01/13|A | |3,750 |A |/7 |01/14|Common Stock|3,750 | |3,750 |D | | (Right to Buy) | |/00 | | | | | |/10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.25 |02/08|A | |5,000 |A |/8 |02/09|Common Stock|5,000 | |5,000 |D | | (Right to Buy) | |/01 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(34,408) | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes 67 shares acquired in July under the SWWC Employee Stock Purchase 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 1/19/01. /2 exercisable @ 1/5 a year beginning 3/28/95. /3 exercisable @ 1/5 a year beginning 3/14/96. /4 exercisable @ 1/5 a year beginning 2/8/97. /5 exercisable @ 1/5 a year beginning 2/12/98. /6 Exercisable @ 1/5 a year beginning 1/27/99. /7 exercisable @ 1/5 a year beginning 2/4/00. /8 exercisable @ 1/5 a year beginning 01/13/01. SIGNATURE OF REPORTING PERSON /s/ Michael O. Quinn DATE August 7, 2001 -----END PRIVACY-ENHANCED MESSAGE-----