-----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, CMpSrqwed0hv1ITwFB+//uSHpAIQjTq5vuQtqlDgC6zlfoppvi/iawdjKazJ17CJ OZ1JnCMokh8oPVNADWAyJA== 0000092472-99-000051.txt : 19991210 0000092472-99-000051.hdr.sgml : 19991210 ACCESSION NUMBER: 0000092472-99-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991130 FILED AS OF DATE: 19991209 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: 99771283 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: KINDEL MAUREEN A CENTRAL INDEX KEY: 0001063322 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: ROSE & KINDEL OMNI OFFICE CENTRE STREET 2: 900 WILSHIRE BLVD STE 1030 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: ROSE & KINDEL OMNI OFFICE CENTRE STREET 2: 900 WILSHIRE BLVD STE 1030 CITY: LOS ANGELES STATE: CA ZIP: 90017 4 1 FORM 4 - NOVEMBER 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 KINDEL, MAUREEN A. ROSE & KINDEL OMNI OFFICE CENTRE 900 WILSHIRE BOULEVARD, SUITE 1030 LOS ANGELES, CA 90017 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 November 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 va|11/24/|M | |1,500 |A |$6.79 |3,375 | |D | lue |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|$6.79 |09/01|A | |2,362 |A |/1 |09/02|Common Stock|2,362 | | |D | | Buy) | |/97 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.79 |11/24|M | |1,500 |D |/1 |09/02|Common Stock|1,500 | |862 |D | | Buy-Exercise) | |/99 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.60 |05/28|A | |2,362 |A |/2 |05/29|Common Stock|2,362 | |2,362 |D | | Buy) | |/98 | | | | | |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$9.33 |05/27|A | |2,362 |A |/3 |05/28|Common Stock|2,362 | |2,362 |D | | Buy) | |/99 | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | |(5,586) | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/22/98. /2 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/28/99. /3 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/27/00. /1 and /2 adjusted for stock dividends/stock split on 01/02/96, 01/02/97, 01/02/98 and 10/1/98. SIGNATURE OF REPORTING PERSON /s/ Maureen A. Kindel DATE May 27, 1999 -----END PRIVACY-ENHANCED MESSAGE-----