-----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, V6uIQ6equPUOkqqb7vlUs9hsO+QayRyJ2gj+ovGf5vuScXWQA8tizOuLFUD8pjqy i3BCzHVmwracgubPI3zXNg== 0000898430-03-003192.txt : 20030530 0000898430-03-003192.hdr.sgml : 20030530 20030530132730 ACCESSION NUMBER: 0000898430-03-003192 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030528 ITEM INFORMATION: Other events FILED AS OF DATE: 20030530 FILER: 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 03725266 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 BUSINESS PHONE: 6269151551 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 8-K 1 d8k.htm FORM 8-K Form 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

 

PURSUANT TO SECTION 13 OR 15(d) OF

THE SECURITIES EXCHANGE ACT OF 1934

 

Date of Report: May 29, 2003

(Date of Earliest Event Reported)

 

 

Southwest Water Company

(Exact Name of Registrant as Specified in Its Charter)

 

 

Commission File Number: 0-8176

 

Delaware

  

95-1840947

(State or Other Jurisdiction of

Incorporation or Organization)

  

(I.R.S. Employer

Identification No.)

225 North Barranca Avenue, Suite 200

    

West Covina, California

  

91791-1605

(Address of Principal Executive Offices)

  

(Zip Code)

 

(626) 915-1551

(Registrant’s Telephone Number, Including Area Code)

 

 

(Former Name or Former Address, if Changed Since Last Report)

 

 

 

ITEM 5.    Other Events.

 

Southwest Water Company, a Delaware corporation, has announced that it has completed a private placement of 1,108,033 shares of its newly issued common stock, par value $.01 per share, for aggregate gross proceeds of $12 million to select institutional investors.

 

The securities issued in the private placement have not been registered under the Securities Act of 1933, as amended, and may not be offered or sold in the United States absent an effective registration statement covering such securities or an applicable exemption from such registration requirements. The company has agreed to file a registration statement with the Securities and Exchange Commission covering the resale of the securities issued in the private placement. This filing shall not constitute an offer or sale of any of the company’s securities.

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

       

Southwest Water Company

 

Date: May 30, 2003

      

By:

  

/s/    RICHARD J. SHIELDS        

           

Name:

  

Richard J. Shields

           

Title:

  

Chief Financial Officer

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