-----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, UEBgGK4UGt15KDE2lgw4S+vkaSdWUgkmFIh2JYVpD/XstzSzih85FgbZZDIoJ6XI 9lhdirweV8bIUsaUplnzgg== 0000092472-99-000045.txt : 19991111 0000092472-99-000045.hdr.sgml : 19991111 ACCESSION NUMBER: 0000092472-99-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991031 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: 99745874 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: HUENNEKENS DONOVAN D CENTRAL INDEX KEY: 0001063320 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: HQT HOMES STREET 2: 13821 NEWPORT AVE STE 120 CITY: TUSTIN STATE: CA ZIP: 92780 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: HQT HOMES STREET 2: 13821 NEWPORT AVE STE 120 CITY: TUSTIN STATE: CA ZIP: 92780 4 1 FORM 4 - OCTOBER 31, 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 HUENNEKENS, DONOVAN D. HQT HOMES 13821 NEWPORT AVENUE SUITE 120 TUSTIN, CA 92780 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 October 31, 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|10/20/|R |V|110 |A |$13.0889 | | | | ue |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, $0.01 par val|10/20/|R | |218 |A |$13.7778 |27,341 |D |Joint Trust\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|$6.25 |2/01/|J | |3,099 |A |/1 |2/02/|Common Stock|3,099 | |3,099 |D | | Buy) | |90 | | | | | |00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.25 |3/11/|A | |3,099 |A |/2 |3/12/|Common Stock|3,099 | |3,099 |D | | Buy) | |91 | | | | | |01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.93 |3/28/|A | |1,486 |A |/3 |3/29/|Common Stock|1,486 | |1,486 |D | | Buy) | |94 | | | | | |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.35 |5/22/|A | |2,362 |A |/4 |5/23/|Common Stock|2,362 | |2,362 |D | | Buy) | |97 | | | | | |07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.60 |5/28/|A | |2,362 |A |/5 |5/29/|Common Stock|2,362 | |2,362 |D | | Buy) | |98 | | | | | |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$10.00 |5/27/|A | |2,362 |A |/6 |5/28/|Common Stock|2,362 | |2,362 |D | | Buy) | |99 | | | | | |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1 Granted under SWWC's Employee Stock Purchase Plan issued under old Rule 16b-3. Exercisable @ 1/5 a year beginning 2/01/91. /2 Exercisable @ 1/5 a year beginning 3/12/92. /3 Exercisable @ 1/5 a year beginning 3/28/95. /4 Granted under SWWC's Stock Option Plan for Non-employee Directors. Exercisable @ 1/2 a year beginning 5/22/98. 1,2,3,and 4 all adjusted for stock dividends paid on 1/20/96, 1/20/97 and 1/20/98. /5 Granted under SWWC's Stock Option Plan for Non-employee Directors. Exercisable @ 1/2 a year beginning 5/28/99. /6 Granted under SWWC's Stock Option Plan for Non-employee Directors. Exercisable @ 1/2 a year beginning 5/27/00. /1, /2, /3, /4, /5 and /6 adjusted for a 3-for-2 stock split (dividend) on 10/20/99. SIGNATURE OF REPORTING PERSON \s\ Donovan D. Huennekens DATE November 9, 1999 -----END PRIVACY-ENHANCED MESSAGE-----