-----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, MM5bQHkYT4mG2lwKzcyeQnVmmhYWLGIc8MjZbDj564L9jxiUvi6YfDioXRvlcGKF tma3udB5buDLC+drYRi67Q== 0001179110-05-016494.txt : 20050816 0001179110-05-016494.hdr.sgml : 20050816 20050816174803 ACCESSION NUMBER: 0001179110-05-016494 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: GARNIER ANTON C CENTRAL INDEX KEY: 0000937852 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 051031727 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 - X0202 4 2005-08-15 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 2005-08-15 4 M 0 35092 2.50 A 367895 D Common Stock, $0.01 par value 2005-08-15 4 F 0 11358 13.92 D 387895 D Non-Qualified Stock Option, Right to Buy 2.50 2005-08-15 4 M 0 35092 2.50 D 1997-02-08 2006-02-09 Common Stock 35092 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 otpion for 33,421 held by the reporting person on January 21, 2005, became exercisable for 35,092 shares of common stock. The option was previously reported as an option for 33,421 shares of common stock at an exercise price of $2.62 per share, but was adjusted to an exercise price of $2.50 to reflect the stock dividend delared by SWWC on December 15, 2004. As a result of the stock dividend, the option also entitled the reporting person to receive 1,671 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 February 8, 1996. All option shares become fully vested and exercisable on February 8, 2001. Anton C. Garnier 2005-08-16 -----END PRIVACY-ENHANCED MESSAGE-----