-----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, PucBzE3z9qihXxmlSusMQsNgcMLbs+7go11/06Kp+5T8gnM7oQwENXkYHaE1cUB3 fXt80Rdk3ZIkk8gcHNZMow== 0001179110-07-000843.txt : 20070108 0001179110-07-000843.hdr.sgml : 20070108 20070108150916 ACCESSION NUMBER: 0001179110-07-000843 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060401 FILED AS OF DATE: 20070108 DATE AS OF CHANGE: 20070108 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: Held Stephen C CENTRAL INDEX KEY: 0001381092 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 07517401 BUSINESS ADDRESS: BUSINESS PHONE: 213-929-1800 MAIL ADDRESS: STREET 1: C/O SOUTHWEST WATER COMPANY STREET 2: 624 SOUTH GRAND AVENUE, SUITE 2900 CITY: LOS ANGELES STATE: CA ZIP: 90017 3 1 edgar.xml FORM 3 - X0202 3 2006-04-01 0 0000092472 SOUTHWEST WATER CO SWWC 0001381092 Held Stephen C C/O SOUTHWEST WATER COMPANY 624 SOUTH GRAND AVENUE, SUITE 200 LOS ANGELES CA 90017 0 1 0 0 President of Services Group Employee Stock Option (Right to Buy) 8.88 2003-02-07 2009-02-08 Common Stock 23152 D Employee Stock Options (Right to Buy) 8.44 2003-03-31 2010-04-01 Common Stock 14700 D Employee Stock Options (Right to Buy) 12.97 2004-02-11 2011-02-12 Common Stock 15435 D Employee Stock Options (Right to Buy) 11.39 2005-03-08 2012-03-09 Common Stock 15750 D Employee Stock Option (Right to Buy) 17.75 2006-03-07 2013-03-08 Common Stock 25000 D Options vested 1/5 on anniversary until they are fully vested on February 2, 2007. Options vested 1/5 on anniversary until they are fully vested on March 31, 2008. Options vested 1/5 on anniversary until they are fully vested on February 11, 2009. Options vested 1/5 on anniversary until they were fully vested on March 8, 2010. Options vested 1/5 on anniversary until they were fully vested on March 7, 2011. /s/ Stephen C. Held 2007-01-02 -----END PRIVACY-ENHANCED MESSAGE-----