-----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, UiPfC5FtOI9d8anpmr0bxpN+dANepFvLA0BnWN3OyCwh6VaRIuP3Hw2O7ro2FrWf /1aAAG0aChUzTswrUoVcIg== 0001179110-06-006930.txt : 20060322 0001179110-06-006930.hdr.sgml : 20060322 20060322132739 ACCESSION NUMBER: 0001179110-06-006930 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060321 FILED AS OF DATE: 20060322 DATE AS OF CHANGE: 20060322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FARNHAM SHELLEY A CENTRAL INDEX KEY: 0001231580 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 06703145 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 BUSINESS PHONE: 6269151551 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: 213 929 1800 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 4 1 edgar.xml FORM 4 - X0202 4 2006-03-21 0 0000092472 SOUTHWEST WATER CO SWWC 0001231580 FARNHAM SHELLEY A 624 SOUTH GRAND AVENUE SUITE 2900 LOS ANGELES CA 90017 0 1 0 0 Sec. and VP Human Resources Common Stock 2006-03-21 4 M 0 1947 6.94 A 1947 D Common Stock 2006-03-21 4 S 0 1947 16.14 D 0 D Common Stock 2006-03-21 4 M 0 2158 8.88 A 2158 D Common Stock 2006-03-21 4 S 0 2158 16.14 D 0 D Common Stock 2006-03-21 4 M 0 378 8.44 A 378 D Common Stock 2006-03-21 4 S 0 378 16.14 D 0 D Common Stock 2006-03-21 4 M 0 2646 12.97 A 2646 D Common Stock 2006-03-21 4 S 0 2646 16.14 D 0 D Common Stock 2006-03-21 4 M 0 1680 11.39 A 1680 D Common Stock 2006-03-21 4 S 0 1680 16.14 D 0 D Common Stock 2006-03-21 4 S 0 700 15.93 D 623 D Common Stock 2006-03-21 4 S 0 500 15.94 D 123 D Employee Stock Option (Right to Buy) 6.94 2006-03-21 4 M 0 1947 16.14 D 2002-02-08 2008-02-09 Common Stock 1947 0 D Employee Stock Option (Right to Buy) 8.88 2006-03-21 4 M 0 2158 16.14 D 2003-02-08 2009-02-08 Common Stock 2158 1853 D Employee Stock Option (Right to Buy) 8.44 2006-03-21 4 M 0 378 16.14 D 2004-03-31 2010-04-01 Common Stock 378 5292 D Employee Stock Option (Right to Buy) 12.97 2006-03-21 4 M 0 2646 16.14 D 2005-02-11 2011-02-12 Common Stock 2646 3969 D Employee Stock Option (Right to Buy) 11.39 2006-03-21 4 M 0 1680 16.14 D 2006-03-08 2012-03-09 Common Stock 1680 6720 D On February 8, 2001 9,724 options (split-adjusted) were granted to Ms. Farnham. Options vested 1/5 on each anniversary date until they were fully vested on February 8, 2006. On February 7, 2002 9,261 options (split-adjusted) were granted to Ms. Farnham. Options vest 1/5 on each anniversary date until they are fully vested on February 7, 2007. On March 31, 2003 options (split-adjusted)were granted to Ms. Farnham. Options vest 1/5 on each anniversary date until they are fully vested on March 31, 2008. On February 11 2004 6,615 options (split-adjusted)were granted to Ms. Farnham. Options vest 1/5 on each anniversary date until they are fully vested on February 11, 2009. On on March 8, 2005 8,400 options (split-adjusted)were granted to Ms. Farnham. Options vest 1/5 on each anniversary date until they are fully vested on March 8, 2010. Includes 123 shares of common stock acquired through Southwest Water Employee Stock Purchase Plan. Ms. Farnham holds 123 shares of common stock as trustee of a revocable trust for her benefit. Shelley A. Farnham 2006-03-21 -----END PRIVACY-ENHANCED MESSAGE-----