-----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, OI3Xod3LhUpU+TSCGrNLt0MAe24D+camuKdQdbkxEpxoG9Kqb188mRCojWOUvwLP WVn18pJPop4isnY4tShW/g== 0001179110-05-016483.txt : 20050816 0001179110-05-016483.hdr.sgml : 20050816 20050816172530 ACCESSION NUMBER: 0001179110-05-016483 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050815 FILED AS OF DATE: 20050816 DATE AS OF CHANGE: 20050816 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: ONE WILSHIRE BUILDING STREET 2: 624 SOUTH GRAND AVENUE, SUITE 2900 CITY: LOS ANGELES STATE: CA ZIP: 90017-3782 BUSINESS PHONE: 2139291800 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MOERBEEK PETER J CENTRAL INDEX KEY: 0001063315 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 051031632 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: STE 200 CITY: W COVINA STATE: CA ZIP: 91791 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVE STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 4 1 edgar.xml FORM 4 - X0202 4 2005-08-15 0 0000092472 SOUTHWEST WATER CO SWWC 0001063315 MOERBEEK PETER J 624 SOUTH GRAND AVENUE SUITE 2900 LOS ANGELES CA 90017 1 1 0 0 President Common Stock, $0.01 par value 2005-08-15 4 M 0 35380 1.83 A 71971 D Common Stock, $0.01 par value 2005-08-15 4 F 1 10986 13.92 D 71971 D Non-Qualified Stock Option, Right to Buy 1.83 2005-08-15 4 M 0 35380 1.83 D 1996-08-24 2005-08-25 Common Stock 35380 0 D On December 15, 2004, SWWC declared a 5% stock dividend, payable to all holders of record of Common Stock on January 3, 2005. Pursuant to anti-dilutive provisions of SWWC's Employee Stock Option Plan, an option for 54,695 shares held by the reporting person on January 21, 2005, became exercisable for 57,430 shares of common stock. The option was previously reported as an option for 54,695 shares of common stock at an exercise price of $1.92 per share, but was adjusted to an exercise price of $1.83 to reflect the stock dividend declared by SWWC on December 15, 2004. As a result of the stock dividend, the option also entitled the reporting person to receive 2,735 option shares for no additional consideration. These shares are held in a joint trust for the benefit of the persons family: Peter J. Moerbeek and Mary Joanne Moerbeek, Trustees for Moerbeek Family Trust, U/T/A dated March 3, 1999 Options vest 1/5 on each anniversary of the date of grant commencing on the date of grant August 24, 1995. All option shares become fully vested and exercisable on August 24, 2000. Peter J. Moerbeek 2005-08-16 -----END PRIVACY-ENHANCED MESSAGE-----