-----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, FrMwnln+ber4OjbLbQ8NaNMF+A2r0ZM3TySEJgIgWRFiI3QpJihxgRT7vJ9o9scX uSdMX3KtuDdgrnfgua/EZQ== 0001179110-07-000936.txt : 20070109 0001179110-07-000936.hdr.sgml : 20070109 20070109115527 ACCESSION NUMBER: 0001179110-07-000936 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070109 DATE AS OF CHANGE: 20070109 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 07519591 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 5 1 edgar.xml FORM 5 - X0202 5 2006-12-31 0 0 1 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) 16.48 2006-03-27 2013-03-28 4 A 0 L 10000 16.48 A 2007-03-27 2013-03-28 Common Stock 10000 10000 D Options vest 1/5 each anniversary until they are fully vested on March 27, 2011. /s/ Stephen C. Held 2007-01-02 -----END PRIVACY-ENHANCED MESSAGE-----