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 TEKULVE, THOMAS C. SOUTHWEST WATER COMPANY 225 North 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 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) Vice President Finance 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| | | | | | |502 (1) |D |Jt. Ten | 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 |$8.07 |02/04|A | |9,375 |A |/1 |02/05|Common Stock|9,375 | |9,375 |D | | (Right to Buy) | |/99 | | | | | |/09 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.65 |01/13|A | |9,375 |A |/2 |01/14|Common Stock|9,375 | |9,375 |D | | (Right to Buy) | |/00 | | | | | |/10 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.25 |02/08|A | |10,000 |A |/3 |02/09|Common Stock|10,000 | |10,000 |D | | (Right to Buy) | |/01 | | | | | |/08 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(28,750) | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes 67 shares acquired in July under the SWWC Employee Stock Purchase Plan and 2 shares acquired in July pursuant to the SWWC Dividend Reinvestment Plan. /1 and /2 Adjusted for stock dividend/splits on 10/20/99 and 01/19/01. /1 Exercisable @ 1/5 a year beginning 02/04/00. /2 Exercisable @ 1/5 a year beginning 01/14/01. /3 Exercisable @ 1/5 a year beginning 02/08/02. SIGNATURE OF REPORTING PERSON /s/ Thomas C. Tekulve DATE August 7, 2001