-----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, RQbKB2/QsbqoXdmMGTzJ5GbI3iiiOX5aiPZyadU314BWThCOy8caP9wXbUc8FNO1 7gev3y3LeL87TyHWc0A+/g== 0001179110-06-017001.txt : 20060817 0001179110-06-017001.hdr.sgml : 20060817 20060817194348 ACCESSION NUMBER: 0001179110-06-017001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060815 FILED AS OF DATE: 20060817 DATE AS OF CHANGE: 20060817 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 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: 061042026 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 2006-08-15 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 & COO Common Stock 2006-08-15 4 M 0 400 3.32 A 114908 D Common Stock 2006-08-15 4 S 0 400 13.50 D 114508 D Common Stock 2006-08-15 4 M 0 300 3.32 A 114808 D Common Stock 2006-08-15 4 S 0 300 13.49 D 114508 D Common Stock 2006-08-15 4 M 0 24300 3.32 A 138808 D Common Stock 2006-08-15 4 S 0 24300 13.40 D 114508 D Common Stock 2006-08-16 4 M 0 6905 3.32 A 121413 D Common Stock 2006-08-16 4 S 0 6905 13.38 D 114508 D Common Stock 2006-08-16 4 M 0 18095 4.21 A 132603 D Common Stock 2006-08-16 4 S 0 18095 13.38 D 114508 D Employee Stock Option (Right to Buy) 3.32 2006-08-15 4 M 0 400 13.50 A 1998-02-12 2007-02-13 Common Stock 400 114908 D Employee Stock Option (Right to Buy) 3.32 2006-08-15 4 M 0 300 13.49 A 1998-02-12 2007-02-13 Common Stock 300 115208 D Employee Stock Option (Right to Buy) 3.32 2006-08-15 4 M 0 24300 13.40 A 1998-02-12 2007-02-13 Common Stock 24300 139508 D Employee Stock Option (Right to Buy) 3.32 2006-08-16 4 M 0 6905 13.38 A 1998-02-12 2007-02-13 Common Stock 6905 146413 D Employee Stock Option (Right to Buy) 4.21 2006-08-16 4 M 0 18095 13.38 A 1999-01-27 2008-01-28 Common Stock 18095 164508 D On February 12,1997 31,905 options (dividend-adjusted) were granted to Mr. Moerbeek. Options vest 1/5 on each anniversary date until they were fully vested on February 12, 2002. On January 27, 1998 75,966 options (dividend-adjusted) were granted to Mr. Moerbeek. Options vest 1/5 on each anniversary date until they were fully vested on January 27, 2003. These shares are held in a joint trust for the benefit of the persons family: Peter J. Moerbeek, Trustee for Moerbeek Family Trust, U/T/A dated August 24, 2000. /s/ Peter J. Moerbeek 2006-08-16 -----END PRIVACY-ENHANCED MESSAGE-----