-----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, F+UMXdloEkW0yqBbunDk2W84ckFK3UYp0jWXGwGQEdr6tYWFqyFhzAv+sfgGSjjh E43SGj4cReZzam2kpGiwbw== 0001179110-06-017820.txt : 20060901 0001179110-06-017820.hdr.sgml : 20060901 20060901144437 ACCESSION NUMBER: 0001179110-06-017820 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060830 FILED AS OF DATE: 20060901 DATE AS OF CHANGE: 20060901 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: 061071326 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 2006-08-30 0 0000092472 SOUTHWEST WATER CO SWWC 0001063315 MOERBEEK PETER J 624 SOUTH GRAND AVENUE SUITE 2900 LOS ANGELES CA 90017 0 0 0 1 President & COO until 6/13/06 Common Stock 2006-08-30 4 P 0 8023 4.98 A 122531 D Common Stock 2006-08-30 4 S 0 8023 13.17 D 114508 D Common Stock 2006-08-30 4 P 0 18567 5.59 A 133075 D Common Stock 2006-08-30 4 S 0 18567 13.17 D 114508 D Common Stock 2006-08-31 4 P 0 11818 5.59 A 126326 D Common Stock 2006-08-31 4 S 0 11818 13.18 D 114508 D Common Stock 2006-08-31 4 P 0 35200 7.19 A 149708 D Common Stock 2006-08-31 4 S 0 35200 13.18 D 114508 D Employee Stock Options (Right to Buy) 4.98 2006-08-30 4 M 0 8023 13.17 A 2004-02-04 2009-02-05 Common Stock 8023 122531 D Employee Stock Options (Right to Buy) 5.59 2006-08-30 4 M 0 18567 13.17 A 2004-08-05 2009-08-06 Common Stock 18567 141098 D Employee Stock Options (Right to Buy) 5.59 2006-08-31 4 M 0 11818 13.18 A 2004-08-05 2009-08-06 Common Stock 11818 152916 D Employee Stock Options (Right to Buy) 7.19 2006-08-31 4 M 0 35200 13.18 A 2005-01-13 2010-01-14 Common Stock 35200 188116 D On February 4, 1999 75,966 (dividend-adjusted)options were granted to Mr. Moerbeek. Options vest 1/5 on each anniversary until they were fully vested on February 4, 2004. On August 5, 1999 30,385 (dividend-adjusted) options were granted to Mr. Moerbeek. Options vest 1/5 on each anniversary until they were fully vested August 5. 2004. On January 13, 2000 68,878 (dividend-adjusted) options were granted to Mr. Moerbeek. Options vest 1/5 on each anniversary until they were fully vested on January 13, 2005. These shares are held in a joint trust for the benefit of the persons family: Peter J. Moerbeek, Trustee for the Moerbeek Family trust U/T/A August 24, 2000. Peter J. Moerbeek 2006-09-01 -----END PRIVACY-ENHANCED MESSAGE-----