-----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, Qm5WGdTWdbbmgDZ8CRIpuvT14+soKRSJq1EAZp452eBnvZOY9Ay5VZVn+xeHJTDS R9BlC0VlrGJMU8ad0hHOzg== 0000092472-99-000016.txt : 19990309 0000092472-99-000016.hdr.sgml : 19990309 ACCESSION NUMBER: 0000092472-99-000016 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: 99559523 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: 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 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 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 February 28, 1999 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|02/10/|M | |10,583 |A |$10.28 | | | | ue |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|02/10/|S | |10,583 |D |$15.50 | | | | ue |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|02/10/|M | |3,968 |A |$9.38 | | | | ue |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|02/10/|S | |3,968 |D |$15.50 |8,681 |D |/1 | ue |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | |10,583 |A |/2 |08/29|Common Stock|10,583 | | | | | Buy) | |90 | | | | | |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$10.28 |08/28|M | |10,583 |D |/2 |08/29|Common Stock|10,583 | |-0- | | | (Right to Buy/EX) | |/90 | | | | | |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$9.38 |02/19|A | |3,968 |A |/3 |02/20|Common Stock|3,968 | | | | | (Right to Buy) | |/91 | | | | | |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$9.38 |02/04|M | |3,968 |D |/3 |02/20|Common Stock|3,968 | |-0- | | | (Right to Buy/EX) | |/99 | | | | | |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$5.90 |03/28|A | |3,522 |A |/4 |03/29|Common Stock|3,522 | |3,522 |D | | (Right to Buy) | |/94 | | | | | |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$5.44 |03/14|A | |3,522 |A |/5 |03/15|Common Stock|3,522 | |3,522 |D | | (Right to Buy) | |/95 | | | | | |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$7.22 |02/08|A | |3,780 |A |/6 |02/09|Common Stock|3,780 | |3,780 |D | | (Right to Buy) | |/96 | | | | | |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$10.10 |02/12|A | |3,2,81 |A |/7 |02/13|Common Stock|3,281 | |3,281 |D | | (Right to Buy) | |/97 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$12.80 |01/27|A | |3,125 |A |/8 |01/28|Common Stock|3,125 | |3,125 |D | | (Right to Buy) | |/98 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$15.125 |02/04|A | |3,500 |A |/9 |02/05|Common Stock|3,500 | |3,500 |D | | (Right to Buy) | |/99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1, /2, /3, /4, /5, /6, /7 and /8 adjusted for a 5% stock dividend on 1/20/98 and a 5-for-4 stock split on 10/20/98.. /2 Granted under the SWWC's Employee Stock Purchase Plan issued under old Rule 16b-3. Exercisable @ 1/5 a year beginning 8/28/91. /3 exercisable @ 1/5 a year beginning 2/19/92. /4 exercisable @ 1/5 a year beginning 3/28/95. /5 exercisable @ 1/5 a year beginning 3/14/96. /6 exercisable @ 1/5 a year beginning 2/8/97. /7 exercisable @ 1/5 a year beginning 2/12/98. /8 Exercisable @ 1/5 a year beginning 1/27/99. SIGNATURE OF REPORTING PERSON /s/ Michael O. Quinn DATE March 3, 1999 -----END PRIVACY-ENHANCED MESSAGE-----