-----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, F1dsTeHZwjAY0QqyanxLTTOMo9QssauJB3aksQHesEGoVnMf62d638/xjjmzbgFo nIHUQcN3jubKuUZmorqK5w== 0001157523-07-011898.txt : 20071204 0001157523-07-011898.hdr.sgml : 20071204 20071204090015 ACCESSION NUMBER: 0001157523-07-011898 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20071204 ITEM INFORMATION: Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20071204 DATE AS OF CHANGE: 20071204 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: 071282166 BUSINESS ADDRESS: STREET 1: ONE WILSHIRE BUILDING STREET 2: 624 SOUTH GRAND AVENUE, SUITE 2900 CITY: LOS ANGELES STATE: CA ZIP: 90017-3782 BUSINESS PHONE: 213 929 1800 MAIL ADDRESS: STREET 1: ONE WILSHIRE BUILDING STREET 2: 624 SOUTH GRAND AVENUE, SUITE 2900 CITY: LOS ANGELES STATE: CA ZIP: 90017-3782 FORMER COMPANY: FORMER CONFORMED NAME: SUBURBAN WATER SYSTEMS DATE OF NAME CHANGE: 19751202 8-K 1 a5559671.txt SOUTHWEST WATER COMPANY 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 (Date of earliest event reported): December 4, 2007 SOUTHWEST WATER COMPANY (Exact Name of Registrant as Specified in its Charter) DELAWARE 0-8176 95-1840947 (State or Other Jurisdiction of (Commission File Number) (IRS Employer Incorporation or Organization) Identification Number) ONE WILSHIRE BUILDING 624 SOUTH GRAND AVENUE, SUITE 2900 LOS ANGELES, CALIFORNIA 90017-3782 (Address of Principal Executive Offices, including zip code) (213) 929-1800 (Registrant's telephone number, including area code) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: |_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ================================================================================ ITEM 5.02 DEPARTURE OF DIRECTORS OR PRINCIPAL OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF PRINCIPAL OFFICERS (c) The Company's Board of Directors elected David Stanton, 42, as its Chief Operating Officer, effective December 1, 2007. Mr. Stanton has been Southwest Water's executive vice president of strategic development since November 2006. Previously, he served as executive vice president of Earth Tech, a division of Tyco International, Inc., an international environmental water and wastewater services provider. Earlier, Mr. Stanton held senior management positions with a number of companies in the water and wastewater industry, such as Waterlink, Inc., ITEQ, Inc. and Wheelabrator Technologies, Inc. He earned a bachelor of science degree in electrical engineering from Cornell University, New York. There is no arrangement or understanding between Mr. Stanton and any other person pursuant to which he was selected as an officer of the Company. There is no family relationship between Mr. Stanton and any director or executive officer of the Company or any person nominated or chosen by the Company to become a director or executive officer of the Company. Mr. Stanton has held no directorships in any company with a class of securities registered pursuant to Section 12 of the Exchange Act of 1934, as amended, or subject to the requirements of Section 15(d) of such Act or any company registered as an investment company under the Investment Company Act of 1940, as amended. There have been no transactions or series of similar transactions since the beginning of the Company's last fiscal year, or any currently proposed transaction or series of similar transactions, to which the Company or any of its subsidiaries was or is to be a party in which the amount involved exceeds $60,000, and in which Mr. Stanton or any member of his immediate family had, or will have, a direct or indirect material interest. The press release announcing Mr. Stanton's employment is furnished as Exhibit 99.1. ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS (c) Exhibits 99.1 Press Release dated December 4, 2007 announcing the appointment of David Stanton to Chief Operating Officer. 2 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. SOUTHWEST WATER COMPANY By: /s/ William K. Dix ----------------------------- William K. Dix Vice President, Secretary and General Counsel Dated: December 4, 2007 3 EX-99.1 2 a5559671ex991.txt EXHIBIT 99.1 Exhibit 99.1 Southwest Water Appoints David Stanton as Chief Operating Officer LOS ANGELES--(BUSINESS WIRE)--Dec. 4, 2007--Southwest Water Company (NASDAQ:SWWC) today announced the appointment of David Stanton as chief operating officer, a previously vacant position. "David's extensive knowledge of the water and wastewater business, as well as his expertise in the areas of business development, finance and operations, make him ideally suited for this new role," said Mark Swatek, Southwest Water chief executive officer and chairman. "I am confident that under David's leadership, the execution of our plan to grow the business, unify our operations and streamline our processes will be greatly enhanced." Stanton, 42, joined Southwest Water in November of 2006 as executive vice president of strategic development. Previously, he served as executive vice president of Earth Tech, the international environmental water and wastewater services provider division of Tyco International, Inc. Earlier, Stanton held senior management positions with a number of companies in the water and wastewater industry, including Waterlink, Inc., ITEQ, Inc. and Wheelabrator Technologies, Inc. He earned a bachelor of science degree in electrical engineering from Cornell University. Southwest Water Company provides a broad range of services including water production, treatment and distribution; wastewater collection and treatment; utility billing and collection; utility infrastructure construction management; and public works services. The company owns regulated public utilities and also serves cities, utility districts and private companies under contract. More than two million people in 10 states depend on Southwest Water for high-quality, reliable service. Additional information may be found on the company's website: www.swwc.com. CONTACT: Southwest Water Company DeLise Keim VP Corporate Communications 213-929-1846 www.swwc.com or PondelWilkinson Inc. Robert Jaffe 310-279-5969 www.pondel.com -----END PRIVACY-ENHANCED MESSAGE-----