-----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, A+o7P9zPl7zMOMbCSO9jpQOjsukUOSprUjZOxRLXqn9rbOIRRmXFF3aXvgIyr35l 6WAfHTku8lpnGJn71wIHwQ== 0000092472-99-000012.txt : 19990309 0000092472-99-000012.hdr.sgml : 19990309 ACCESSION NUMBER: 0000092472-99-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990228 FILED AS OF DATE: 19990308 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: SEC FILE NUMBER: 000-08176 FILM NUMBER: 99559510 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE 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: GARNIER ANTON C CENTRAL INDEX KEY: 0000937852 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AAVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 4 1 FORM 4 - FEBRUARY 28, 1999 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 GARNIER, ANTON C. Southwest Water Company 225 North Barranca Avenue, Suite 200 West Covina, CA 91791 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 February 28, 1999 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President, Chief Executive Officer and Chairman of the Board 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| | | | | | |9,973 |D | | ue | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val| | | | | | |78,067 |D |Joint 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|$10.28 |8/28/|J | |26,790 |A |/1 |8/29/|Common Stock|26,790 | |26,790 |D | | Buy) | |90 | | | | | |00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$9.98 |1/29/|A | |19,845 |A |/2 |1/30/|Common Stock|19,845 | |19,845 |D | | Buy) | |91 | | | | | |01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$5.90 |3/28/|A | |12,667 |A |/3 |1/29/|Common Stock|12,667 | |12,667 |D | | Buy) | |94 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$5.44 |3/14/|A | |12,667 |A |/4 |3/15/|Common Stock|12,667 | |12,667 |D | | Buy) | |95 | | | | | |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$7.22 |2/8/9|A | |15,750 |A |/5 |2/9/0|Common Stock|15,750 | |15,750 |D | | Buy) | |6 | | | | | |6 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$10.10 |2/12/|A | |15,750 |A |/6 |2/13/|Common Stock|15,750 | |15,750 |D | | Buy) | |97 | | | | | |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$12.80 |1/27/|A | |31,250 |A |/7 |1/28/|Common Stock|31,250 | |31,250 |D | | Buy) | |98 | | | | | |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$15.125 |2/4/9|A | |30,000 |A |/8 |2/5/0|Common Stock|30,000 | |30,000 |D | | Buy) | |9 | | | | | |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1 Granted under the SWWC's Employee Stock Purchase Plan issued under old Rule 16b-3. Exercisable @ 1/5 a year beginning 8/28/91. /2 Exercisable @ 1/5 a year beginning 1/29/92. /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. /1, /2, /3, /4, /5, /6 and /7 adjusted for a 5% stock dividend on 1/20/98 and a 5-for-4 stock split on 10/20/98. SIGNATURE OF REPORTING PERSON \s\ Anton C. Garnier DATE March 5, 1999 -----END PRIVACY-ENHANCED MESSAGE-----