-----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, OhKQOSecqUNzLiof2BVl2LbiJDXxQWhlTDxTAcgF1rJHjzVEIx334Qa0JcSwb+43 gHeItKy0mEtAnrPa37PelQ== 0001179110-04-006593.txt : 20040324 0001179110-04-006593.hdr.sgml : 20040324 20040324183109 ACCESSION NUMBER: 0001179110-04-006593 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040322 FILED AS OF DATE: 20040324 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: NEWMAN RICHARD G CENTRAL INDEX KEY: 0001063339 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 04688072 BUSINESS ADDRESS: STREET 1: AECOM TECHNOLOGY CORP STREET 2: 3250 WILSHIRE BLVD 5TH FL CITY: LOS ANGELES STATE: CA ZIP: 90010 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: AECOM TECHNOLOGY CORP STREET 2: 3250 WILSHIRE BLVD 5TH FL CITY: LOS ANGELES STATE: CA ZIP: 90017 4 1 edgar.xml FORM 4 - X0201 4 2004-03-22 0 0000092472 SOUTHWEST WATER CO SWWC 0001063339 NEWMAN RICHARD G 555 S. FLOWER STREET, STE. 3700 LOS ANGELES CA 90071 1 0 0 0 Common Stock, par value $0.01 2004-03-22 4 A 0 2728 2.14 A 41674 D Non-Qualified Stock Option (Right to Buy) 2.14 2004-03-22 4 M 0 2728 2.14 A 1999-03-28 2004-03-29 Common Stock 2728 41674 D Mr. and Mrs. Newman hold all shares 41,674 shares of common stock as trustees of a revocable trust for their benefit. Mr. Newman is a trustee of the trust and has shared voting and investment power with respect to the shares. The option was initially granted on 3/28/94 for 2,046 shares and became exercisable for those shares as follows: twenty percent (20%) of the option shares vest each year measured from the grant date over a (5) five year period. On November 6, 2003, SWWC declared a 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 held by the reporting person on January 20, 2004, became exercisable for 2,728 shares of common stock. Richard G. Newman 2004-03-24 -----END PRIVACY-ENHANCED MESSAGE-----