-----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, NGabHKmtmJPK1uzGBevhtaEXS4c0lMbGpOIEZnojhpJm9+OdBAKvFEeJ5EwEIskQ YWUrjaiV477nUVwx28hwAg== 0001179110-06-022315.txt : 20061122 0001179110-06-022315.hdr.sgml : 20061122 20061122180111 ACCESSION NUMBER: 0001179110-06-022315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061122 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: CASTLE JAMES C CENTRAL INDEX KEY: 0001052818 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 061237314 BUSINESS ADDRESS: BUSINESS PHONE: 8002881970 MAIL ADDRESS: STREET 1: 601 MONTGOMERY ST CITY: SAN FRANCISCO STATE: CA ZIP: 94111 4 1 edgar.xml FORM 4 - X0202 4 2006-11-22 0 0000092472 SOUTHWEST WATER CO SWWC 0001052818 CASTLE JAMES C 621 13TH STREET MANHATTAN BEACH CA 90266 1 0 0 0 Common Stock 2006-11-22 4 M 0 7717 8.88 A 7717 D Common Stock 2006-11-22 4 M 0 7717 10.59 A 15434 D Common Stock 2006-11-22 4 M 0 7350 8.24 A 22784 D Common Stock 2006-11-22 4 M 0 11025 11.56 A 33809 D Common Stock 2006-11-22 4 M 0 5250 10.63 A 39059 D Director Stock Option (Right to Buy) 8.88 2006-11-22 4 M 0 7717 8.88 A 2004-02-07 2009-02-08 Common Stock 7717 7717 D Director Stock Option (Right to Buy) 10.59 2006-11-22 4 M 0 7717 10.59 A 2004-05-13 2009-05-14 Common Stock 7717 15434 D Director Stock Option (Right to Buy) 8.24 2006-11-22 4 M 0 7350 8.24 A 2005-05-08 2010-05-09 Common Stock 7350 22784 D Director Stock Option (Right to Buy) 11.56 2006-11-22 4 M 0 11025 11.56 A 2006-05-13 2011-05-14 Common Stock 11025 33809 D Director Stock Option (Right to Buy) 10.63 2006-11-22 4 M 0 5250 10.63 A 2006-05-12 2012-05-13 Common Stock 5250 39059 D On February 7, 2002 7,717 (dividend-adjusted) options were granted to Mr. Castle. Options vest 1/2 on each anniversary until they were fully vested on February 7, 2004. On May 13, 2002 7,717 (dividend-adjusted)options were granted to Mr. Castle. Options vest 1/2 on each anniversary until they were fully vested on May 13, 2004. On May 8, 2003 7,350 (dividend-adjusted) options were granted to Mr. Castle. Options vest 1/2 on each anniversary until they were fully vested on May 8, 2005. On May 13, 2004 11,025 (dividend-adjusted) options were granted to Mr. Castle. Options vest 1/2 on each anniversary until they were fully vested on May 13, 2006. On May 12, 2005 10,500 (dividend-adjusted) options were granted to Mr. Moerbeek. Options vest 1/2 on each anniversary until they are fully vested on May 12, 2007. These shares are held in a joint trust for the benefit of the persons family in the Castle Family Trust. /s/ James C. Castle 2006-11-22 -----END PRIVACY-ENHANCED MESSAGE-----