-----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, EpdqutXkqB7nr1rE9aHnuhb0yhOIo367so7n4f6wtPFsG8kRojq4qv3HevlU0p6I 7YI66sZRxr+WSgRAwaxfmQ== 0000092472-99-000042.txt : 19991111 0000092472-99-000042.hdr.sgml : 19991111 ACCESSION NUMBER: 0000092472-99-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991110 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: 99745745 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: HARRIS MONROE CENTRAL INDEX KEY: 0001063319 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 5024 E MESA CREST PL CITY: TUCSON STATE: AZ ZIP: 85718 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: 5024 E MESA CREST PL CITY: TUCSON STATE: AZ ZIP: 85718 4 1 FORM 4 - SEPTEMBER 30, 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 HARRIS, MONROE 5024 East Mesa Crest Place Tucson, AZ 85718 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 September 30, 1999 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|10/27/|M | |3,937 |A |$3.43-4.81 |29,999 |D |Joint Trust/1 | ue |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val| | | | | | |400 |I |Wife's IRA | 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|$3.43 |05/15|A | |2,974 |A |/1 |05/16|Common Stock|2,974 | | |D | | Buy) | |/95 | | | | | |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Exercise|$3.43 |10/27|M | |2,379 |D |/1 |05/16|Common Stock|2,379 |$3.43 |595 |D | | ) | |/99 | | | | | |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$4.81 |02/08|A | |2,598 |A |/2 |02/09|Common Stock|2,598 | | |D | | Buy) | |/96 | | | | | |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Exercise|$4.81 |10/27|M | |1,558 |D |/2 |02/09|Common Stock|1,558 |$4.81 |1,040 |D | | ) | |/99 | | | | | |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.35 |05/22|A | |2,362 |A |/3 |05/23|Common Stock|2,362 | |2,362 |D | | Buy) | |/97 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.60 |05/28|A | |2,362 |A |/4 |05/29|Common Stock|2,362 | |2,362 |D | | Buy) | |/98 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$10.00 |05/27|A | |2,362 |A |/5 |05/28|Common Stock|2,362 | |2,362 |D | | Buy) | |/99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(8,440) | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1/, /2, /3, /4 and /5 have been adjusted for a 3-for-2 stock split (in the form of a dividend) paid on 10/20/99. /1 Exercisable @ 1/5 a year beginning 05/15/96. /2 Exercisable @ 1/5 a year beginning 02/08/97 /3 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/22/98. /4 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/28/99. /5 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/27/00. SIGNATURE OF REPORTING PERSON /s/ Monroe Harris DATE November 9, 1999 -----END PRIVACY-ENHANCED MESSAGE-----