4 1 edgar.txt FORM 4 - 10/31/01 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 NEWMAN, RICHARD G. AECOM Technology Corporation 3250 Wilshire Boulevard, 5th Floor Los Angeles, CA 90010 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 10/31/01 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 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| | | | | | |26,820 (1) |D |Jt. 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)| | ___________________________________________________________________________________________________________________________________| Stock Option (Right to|$4.76 |03/11|A | |4,066 |A |/2 |03/12|Common Stock|4,066 | |4,066 |D | | Buy) | |/91 | | | | | |/01 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$2.76 |03/28|A | |1,949 |A |/3 |03/29|Common Stock|1,949 | |1,949 |D | | Buy) | |/94 | | | | | |/04 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$2.60 |05/15|A | |1,949 |A |/4 |05/16|Common Stock|1,949 | |1,949 |D | | Buy) | |/95 | | | | | |/05 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.65 |02/08|A | |3,409 |A |/5 |02/09|Common Stock|3,409 | |3,409 |D | | Buy) | |/96 | | | | | |/06 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$4.83 |05/22|A | |3,099 |A |/6 |05/23|Common Stock|3,099 | |3,099 |D | | Buy) | |/97 | | | | | |/07 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.55 |05/28|A | |3,099 |A |/7 |05/29|Common Stock|3,099 | |3,099 |D | | Buy) | |/98 | | | | | |/08 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$7.62 |05/27|A | |3,099 |A |/8 |05/27|Common Stock|3,099 | |3,099 |D | | Buy) | |/99 | | | | | |/09 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$9.52 |05/23|A | |6,562 |A |/9 |05/24|Common Stock|6,562 | |6,562 |D | | Buy) | |/00 | | | | | |/07 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$12.48 |05/22|A | |5,250 |A |/10 |05/23|Common Stock|5,250 | |5,250 |D | | Buy) | |/01 | | | | | |/08 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(32,482) | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes 109 shares acquired in October pursuant to the SWWC Dividend Reinvestment Plan. /1, /2, /3, /4 , /5, /6, /7, /8 and /9 adjusted for stock split/dividends on 01/02/96, 01/02/97, 01/02/98, 10/1/99, 01/19/01 and 10/22/01. /2 Exercisable @ 1/5 a year beginning 03/11/92. /3 Exercisable @ 1/5 a year beginning 03/28/95. /4 Exercisable @ 1/5 a year beginning 05/15/96. /5 Exercisable @ 1/5 a year beginning 02/08/97. /6 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/22/98. /7 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/28/99. /8 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/27/00. /9 Granted under SWWC's Amended & Restated Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/23/01. /10 Granted under SWWC's Amended & Restated Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/23/02. SIGNATURE OF REPORTING PERSON /s/ Richard G. Newman DATE November 7, 2001