-----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, Ph1y4EOG/JJo6qvsnH5nhOaViQdsIOZPmzdKx0V2t8V8KV5xPFOzz2vedk6Fv6bP /y4WxWIHPqsT6uhJrnVd/A== 0001179110-06-019946.txt : 20061017 0001179110-06-019946.hdr.sgml : 20061017 20061017145419 ACCESSION NUMBER: 0001179110-06-019946 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061013 FILED AS OF DATE: 20061017 DATE AS OF CHANGE: 20061017 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: 061148468 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 2006-10-13 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 2006-10-13 4 M 0 17898 7.19 A 132406 D Common Stock 2006-10-13 4 S 0 17898 12.95 D 114508 D Common Stock 2006-10-13 4 M 0 3540 6.94 A 118048 D Common Stock 2006-10-13 4 S 0 3540 12.95 D 114508 D Common Stock 2006-10-16 4 M 0 34266 8.44 A 148774 D Common Stock 2006-10-16 4 S 0 34266 13.02 D 114508 D Employee Stock Option (Right to Buy) 7.19 2006-10-13 4 M 0 17898 12.95 A 2005-01-13 2010-01-14 Common Stock 17898 132406 D Employee Stock Option (Right to Buy) 6.94 2006-10-13 4 M 0 3540 12.95 A 2006-02-08 2008-02-09 Common Stock 3540 135946 D Employee Stock Option (Right to Buy) 8.44 2006-10-16 4 M 0 34266 13.02 A 2006-03-31 2010-04-01 Common Stock 34266 170212 D On January 13, 2000 68,878 (dividend-adjusted) options were granted to Mr. Moerbeek. Options vest 1/5 each anniversary until they were fully vested on January 13, 2005. On February 6, 2001 69,687 (dividend-adjusted) were granted to Mr. Moerbeek. Options vest 1/5 each anniversary until they were fully vested on February 6, 2006. On March 31, 2003 58,800 (dividend-adjusted) options were granted to Mr. Moerbeek. Options vest 1/5 each anniversary until they are fully vested on March 31, 2008. 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. /s/ Peter J. Moerbeek 2006-10-17 -----END PRIVACY-ENHANCED MESSAGE-----