-----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, MY69QLg2e907LvGxC/mQbY1raJgAzmjqa5RCt7yN+aHaDevvJ+OBM0uCy8Bn5zDD DgQmqfFJFle/Sy9JslIOMg== 0001179110-06-022308.txt : 20061122 0001179110-06-022308.hdr.sgml : 20061122 20061122173118 ACCESSION NUMBER: 0001179110-06-022308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061116 FILED AS OF DATE: 20061122 DATE AS OF CHANGE: 20061122 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: 061237252 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 2006-11-16 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 2006-11-16 4 M 0 900 8.88 A 115408 D Common Stock 2006-11-16 4 S 0 900 13.42 D 114508 D Common Stock 2006-11-16 4 M 0 400 8.88 A 114908 D Common Stock 2006-11-16 4 S 0 400 13.41 D 114508 D Common Stock 2006-11-16 4 M 0 690 8.88 A 115198 D Common Stock 2006-11-16 4 S 0 690 13.4 D 114508 D Common Stock 2006-11-16 4 M 0 223 8.88 A 114731 D Common Stock 2006-11-16 4 S 0 223 13.39 D 114508 D Common Stock 2006-11-16 4 M 0 1462 8.88 A 115970 D Common Stock 2006-11-16 4 S 0 1462 13.38 D 114508 D Common Stock 2006-11-16 4 M 0 1273 8.88 A 126781 D Common Stock 2006-11-16 4 S 0 1273 13.37 D 114508 D Common Stock 2006-11-16 4 M 0 1905 8.88 A 116413 D Common Stock 2006-11-16 4 S 0 1905 13.36 D 114508 D Common Stock 2006-11-16 4 M 0 2000 8.88 A 116508 D Common Stock 2006-11-16 4 S 0 2000 13.35 D 114508 D Common Stock 2006-11-16 4 M 0 1600 8.88 A 116108 D Common Stock 2006-11-16 4 S 0 1600 13.34 D 114508 D Common Stock 2006-11-16 4 M 0 900 8.88 A 115408 D Common Stock 2006-11-16 4 S 0 900 13.33 D 114508 D Common Stock 2006-11-16 4 M 0 1500 8.88 A 116008 D Common Stock 2006-11-16 4 S 0 1500 13.32 D 114508 D Common Stock 2006-11-16 4 M 0 100 8.88 A 114608 D Common Stock 2006-11-16 4 S 0 100 13.31 D 114508 D Common Stock 2006-11-16 4 M 0 800 8.88 A 115308 D Common Stock 2006-11-16 4 S 0 800 13.30 A 114508 D Common Stock 2006-11-16 4 M 0 1611 8.88 A 116119 D Common Stock 2006-11-16 4 S 0 1611 13.29 D 114508 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 900 13.42 A 2006-02-07 2009-02-08 Common Stock 900 115408 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 400 13.41 A 2006-02-07 2009-02-08 Common Stock 400 115808 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 690 13.40 A 2006-02-07 2009-02-08 Common Stock 690 116498 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 223 13.39 A 2006-02-07 2009-02-08 Common Stock 223 116721 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 1462 13.38 A 2006-02-07 2009-02-08 Common Stock 1462 118183 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 1273 13.37 A 2006-02-07 2009-02-08 Common Stock 1273 119456 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 1905 13.36 A 2006-02-07 2009-02-08 Common Stock 1905 121361 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 2000 13.35 A 2006-02-07 2009-02-08 Common Stock 2000 123361 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 1600 13.34 A 2006-02-07 2009-02-08 Common Stock 1600 124961 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 900 13.33 A 2006-02-07 2009-02-08 Common Stock 900 125861 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 1500 13.32 A 2006-02-07 2009-02-08 Common Stock 1500 127361 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 100 13.31 A 2006-02-07 2009-02-08 Common Stock 100 127461 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 800 13.30 A 2006-02-07 2009-02-08 Common Stock 800 128261 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 1611 13.29 A 2006-02-07 2009-02-08 Common Stock 1611 129872 D On February 7, 2002 67,914 (dividend-adjusted) options were granted to Mr. Moerbeek. Options vest 1/5 each anniversary until they are fully vested on February 7, 2007. 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 2006-11-22 -----END PRIVACY-ENHANCED MESSAGE-----