-----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, UYMeAoikWpR8K2T8glaFcWzP9JjMHIHlclINrZIVDNlWWqeBzeXuBOUBTn7JewOW gpx7xm0s77XFDQPIeJRB5w== 0000092472-01-500040.txt : 20020412 0000092472-01-500040.hdr.sgml : 20020412 ACCESSION NUMBER: 0000092472-01-500040 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011130 FILED AS OF DATE: 20011207 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 1808763 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: WISENER JAMES C CENTRAL INDEX KEY: 0001163358 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O MSTER TEK INTERNATIONAL INC STREET 2: 9168 MARSHALL PL CITY: WESTMINISTER STATE: CO ZIP: 80030 BUSINESS PHONE: 626 915 1551 MAIL ADDRESS: STREET 1: SOUTHWEST WATER CO STREET 2: 225 N BARRANCA AVE STE CITY: WEST COVINA STATE: CA ZIP: 91791-1605 3 1 edgar.txt FORM 3 - NOVEMBER 30, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Monette, Robert W. Operations Technologies, Inc. 1536 Dunwoody Village Parkway Atlanta, GA 30338 USA 2. Date of Event Requiring Statement (Month/Day/Year) November 30, 2001 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Southwest Water Company SWWC 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President 6. If Amendment, Date of Original (Month/Day/Year) 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 Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| Common Stock, $0.01 par value |27,995 |D |See Note 1on Page 2 | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| Stock Option (Right to B|/2 |8/31/08 |Common Stock |25,000 |$12.70 |D | | uy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: Note 1: At a meeting of the Board of Directors of Southwest Water Company held on November 29, 2001, Mr. Monette was identified as an officer that performs policy-making functions for the corporation and constitutes an "exective officer" and thus is an officer for purposes of Section 16 of the 1934 Act. Following is information on Mr. Monette's SWWC Common stock holdings prior to his designation as an "executive officer". On August 31, 2001, Mr. Monette was granted 26,662 shares of SWWC Common stock through a merger with his company, Operations Technologies, Inc. On October 22, 2001, Mr. Monette was issued 1,333 shares of SWWC Common stock as a result of a 5% stock dividend. All of these shares carried a restrictive legend, which restriction was released on December 5, 2001. /2:Granted under the Second Amended and Restated Southwest Water Company Stock Option Plan. Exercisable @ 1/5 a year beginning 11/29/02. SIGNATURE OF REPORTING PERSON /s/ Robert W. Monette DATE December 7, 2001 -----END PRIVACY-ENHANCED MESSAGE-----