-----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, Rep/lSoH4LS0y9z3MABtR/5dbWK7bHP5k7oL9OTQLak7ogsqmUJwfELN3OZy72qO lBFaVuABxZARQoyvNIkA4g== 0001179110-06-022312.txt : 20061122 0001179110-06-022312.hdr.sgml : 20061122 20061122173800 ACCESSION NUMBER: 0001179110-06-022312 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: 061237278 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 0 200 6.94 A 114708 D Common Stock 2006-11-16 4 S 0 200 13.78 D 114508 D Common Stock 2006-11-16 4 M 0 100 6.94 A 114608 D Common Stock 2006-11-16 4 S 0 100 13.77 D 114508 D Common Stock 2006-11-16 4 M 0 700 6.94 A 115208 D Common Stock 2006-11-16 4 S 0 700 13.76 D 114508 D Common Stock 2006-11-16 4 M 0 300 6.94 A 114808 D Common Stock 2006-11-16 4 S 0 300 13.75 D 114508 D Common Stock 2006-11-16 4 M 0 1000 6.94 A 115508 D Common Stock 2006-11-16 4 S 0 1000 13.72 D 114508 D Common Stock 2006-11-16 4 M 0 1500 6.94 A 116008 D Common Stock 2006-11-16 4 S 0 1500 13.71 D 114508 D Common Stock 2006-11-16 4 M 0 400 6.94 A 114908 D Common Stock 2006-11-16 4 S 0 400 13.7 D 114508 D Common Stock 2006-11-16 4 M 0 604 6.94 A 115112 D Common Stock 2006-11-16 4 S 0 604 13.69 D 114508 D Common Stock 2006-11-16 4 M 0 1014 8.44 A 115522 D Common Stock 2006-11-16 4 S 0 1014 13.69 D 114508 D Common Stock 2006-11-16 4 M 0 757 8.88 A 115265 D Common Stock 2006-11-16 4 S 0 757 13.69 D 114508 D Common Stock 2006-11-16 4 M 0 500 8.88 A 115008 D Common Stock 2006-11-16 4 S 0 500 13.66 D 114508 D Common Stock 2006-11-16 4 M 0 1200 8.88 A 115708 D Common Stock 2006-11-16 4 S 0 1200 13.67 D 114508 D Common Stock 2006-11-16 4 M 0 1200 8.88 A 115708 D Common Stock 2006-11-16 4 S 0 1200 13.68 D 114508 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 200 13.78 A 2006-02-08 2008-02-09 Common Stock 200 114708 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 100 13.77 A 2006-02-08 2008-02-09 Common Stock 100 114808 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 700 13.76 A 2006-02-08 2008-02-09 Common Stock 700 115508 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 300 13.75 A 2006-02-08 2008-02-09 Common Stock 300 115808 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 1000 13.72 A 2006-02-08 2008-02-08 Common Stock 1000 116808 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 1500 13.71 A 2006-02-08 2008-02-09 Common Stock 1500 118308 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 400 13.70 A 2006-02-08 2008-02-09 Common Stock 400 118708 D Employee Stock Option (Right to Buy) 6.94 2006-11-16 4 M 0 604 13.69 A 2006-02-08 2008-02-09 Common Stock 604 119312 D Employee Stock Option (Right to Buy) 8.44 2006-11-16 4 M 0 1014 13.69 A 2006-03-31 2010-04-01 Common Stock 1014 120326 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 757 13.69 A 2006-02-07 2009-02-08 Common Stock 757 121083 D Employee Stock Option (Right to Buy) 8.88 2006-11-16 4 M 0 1200 13.68 A 2006-02-07 2009-02-08 Common Stock 1200 122283 D On February 8, 2001 69,687 (dividend-adjusted)options were granted to Mr. Moerbeek. Options vest 1/5 each anniversary until fully vested on February 8, 2006. 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. On March 31, 2003 58,800 (dividend-adjusted)options were granted to Mr. Moerbeek. Options vest 1/5 each anniversary until 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 2006-11-20 -----END PRIVACY-ENHANCED MESSAGE-----