0000898430-01-502845.txt : 20011018 0000898430-01-502845.hdr.sgml : 20011018 ACCESSION NUMBER: 0000898430-01-502845 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011010 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: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 1756455 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: 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 d4.txt FORM 4 /------------------------------/ / OMB APPROVAL / /------------------------------/ / OMB Number: 3235-0287 / / Expires: December 31, 2004 / / Estimated average burden / / hours per response...... 0.5 / /------------------------------/ +--------+ | FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION +--------+ WASHINGTON, D.C. 20549 [_] Check this box if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the continue. See Public Utility Holding Company Act of 1935 or Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* HARRIS MONROE -------------------------------------------------------------------------------- (Last) (First) (Middle) 5024 East Mesa Crest Place -------------------------------------------------------------------------------- (Street) Tucson AZ 85718 -------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Southwest Water Company SWWC ----------------------------------- 3. IRS or Identification Number of Reporting Person if an entity (Voluntary) -------------- 4. Statement for Month/Year September 30, 2001 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) --------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] Officer [ ] 10% Owner [ ] Other (give title below) (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 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of action action or Disposed of (D) Securities ship of In- Security Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 3) (Month/ (Instr. 8) Owned at Direct Bene- Day/ ----------------------------------------------- End of (D) or ficial Year) Month Indirect Owner- Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, 9/25/01 M 7,947 A $2.74-6.88 $0.01 par value ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, 9/25/01 F 3,152 D $13.42 15,136 D Joint Trust $0.01 par value ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, 750 I Wife's IRA/1 $0.01 par value ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If this form is filed by more than one reporting person, see Instruction 4(b)(v). FORM 4 (continued) TABLE II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities)
----------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- Security (Instr. 3) sion or action tion Code ative Securities Exercise Date (Instr. 8) Acquired (A) or Price of (Month/ Disposed of (D) Deriv- Day/ (Instr. 3, 4, and 5) ative Year) Security --------------------------------------------------- Code V (A) (D) ----------------------------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) $2.74 09/25/01 M 743 ----------------------------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) $3.65 09/25/01 M 1,300 ----------------------------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) $5.06 09/25/01 M 2,952 ----------------------------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) $6.88 09/25/01 M 2,952 ----------------------------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) $8.00 05/27/99 A 2,952 ----------------------------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) $10.00 05/23/00 A 6,250 ----------------------------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) $13.10 05/22/01 A 5,000 ----------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------- -----------------------------------------------------------------------------------------------------------------------------
TABLE II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities)--CONTINUED
------------------------------------------------------------------------------------------------------------------------------------ 6. Date Exer- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- cisable and Underlying Securities of of Deriv- ship ture Expiration (Instr. 3 and 4) Deriv- ative Form of In- Date ative Secur- of De- direct (Month/Day/ Secur- ities rivative Bene- Year) ity Bene- Secu- ficial (Instr. ficially rity: Owner- -------------------------------------------- 5) Owned Direct ship Date Expira- Amount or at End (D) or (Instr. Exer- tion Title Number of of Indi- 4) cisable Date Shares Month rect (1) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ /1 05/16/05 Common Stock 743 -0- ------------------------------------------------------------------------------------------------------------------------------------ /2 02/09/06 Common Stock 1,300 -0- ------------------------------------------------------------------------------------------------------------------------------------ /3 05/23/07 Common Stock 2,952 -0- ------------------------------------------------------------------------------------------------------------------------------------ /4 05/29/08 Common Stock 2,952 -0- ------------------------------------------------------------------------------------------------------------------------------------ /5 05/28/09 Common Stock 2,952 2,952 D ------------------------------------------------------------------------------------------------------------------------------------ /6 05/24/07 Common Stock 6,250 6,250 D ------------------------------------------------------------------------------------------------------------------------------------ /7 05/23/08 Common Stock 5,000 5,000 D ------------------------------------------------------------------------------------------------------------------------------------ (14,202) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: /1,/2,/3,/4,/5 and /6 have been adjusted for stock splits/stock dividends on 1/20/96, 1/20/97, 1/20/98, 10/20/98, 10/20/99 and 1/19/01. /1 Granted under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/5 a year beginning 05/15/96. /2 Granted under SWWC's Stock Option Plan. 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. /6 Granted under SWWC's Amended & Restated Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/23/01. /7 Granted under SWWC's Amended & Restated Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/22/02. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. /s/ Monroe Harris October 2, 2001 ------------------------------- ----------------- **Signature of Reporting Person Date