-----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, VFg7oCUgZegkmwlLzsq713RrN8qkpekVouSNDZagFHnlIjXXQ5kcrVLo5bYigRFJ 8XFHgp39O7k8zfsbCK6vnA== 0001179110-04-007070.txt : 20040331 0001179110-04-007070.hdr.sgml : 20040331 20040331175238 ACCESSION NUMBER: 0001179110-04-007070 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040329 FILED AS OF DATE: 20040331 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: GARNIER ANTON C CENTRAL INDEX KEY: 0000937852 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 04707173 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AAVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 4 1 edgar.xml FORM 4 - X0201 4 2004-03-29 0 0000092472 SOUTHWEST WATER CO SWWC 0000937852 GARNIER ANTON C 624 SOUTH GRAND AVENUE SUITE 2900 LOS ANGELES CA 90017 1 1 0 0 CEO Common Stock, $0.01 par value 2004-03-29 4 M 0 34908 2.138 A 322362 D Common Stock, $0.01 par value 2004-03-29 4 F 0 15487 13.73 D 322362 D Non-Qualified Stock Option (Right to Buy) 2.138 2004-03-29 4 M 0 34908 2.138 D 1995-03-28 2004-03-29 Common Stock 34908 0 D 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 26,181 shares held by the reporting person on January 20, 2004, became exercisable for 31,908 shares of common stock. This option was previously reported as an option for 26,181 shares of common stock at an exercise price of $2.850 per share, but was adjusted to an exerise price of $2.138 per share 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 receive 8,727 option shares for no additional consideration. These shares are held in a joint trust for the benefit of the persons family: Anton C. Garnier and Anita Garnier TR UA 07-01-91, FBO The Anita and Anton Garnier Family Trust. Options vest 1/5 on each anniversary of the date of grant commencing on the date of grant March 28, 1994. All option shares become fully vested and exercisable on March 28, 1999. /s/ Anton C. Garnier 2004-03-31 -----END PRIVACY-ENHANCED MESSAGE-----