-----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, EaMLxx+qy3Ox04lw2eCrLv+EDQn0wix2s92XpK5tk57YMnfRWkaMnW8sL6L8Z8Sk ZSS/fhSzfZf2caSzuIPl7Q== 0001179110-04-003799.txt : 20040217 0001179110-04-003799.hdr.sgml : 20040216 20040217183616 ACCESSION NUMBER: 0001179110-04-003799 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040212 FILED AS OF DATE: 20040217 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HUENNEKENS DONOVAN D CENTRAL INDEX KEY: 0001063320 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 04611083 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 edgar.xml FORM 4 - X0201 4 2004-02-12 0 0000092472 SOUTHWEST WATER CO SWWC 0001063320 HUENNEKENS DONOVAN D HQT HOMES 13821 NEWPORT AVENUE, SUITE 120 TUSTIN CA 92780 1 0 0 0 Common Stock, par value $0.01 2004-02-12 4 A 0 2728 2.138 A 2728 D Stock Option (Right to Buy) 2.138 2004-02-12 4 M 0 2728 2.138 D 1995-03-28 2004-03-29 Common Stock 2728 2728 D Options vest 1/5 of each anniversary date of the date of grant until they are fully vested on March 28,1999. This option was previously reported as an option for 2,046 shares of common stock at an exercise price of $2.850 per share, but was adjusted to reflect the stock dividend declared by SWWC on November 6, 2003. As a result of the stock dividend, the option also entitled the reporting person to reveive, 682 option shares for no additional consideration. On November 6, 2003, SWWC declared 4 for 3 stock split, in the form of a stock dividend, payable to all holders of record of common stock on January 1, 2004. Pursuant to anti-dilutive provisions of SWWC's Employee Stock Option Plan, an option for 2,046 shares of common stock held by the reporting person on January 20, 2004, became exercisable for 2,728 shares of common stock. Donovan D. Huennekens 2004-02-17 -----END PRIVACY-ENHANCED MESSAGE-----