-----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, Sau0woV8Jmsfo+iYMOrw19ypB0HUxQdtNqOHhHegUabKZhb47gULY0okUyDUNuJD B3rilIb3rRgBlahfdBulLg== 0001231580-07-000001.txt : 20070529 0001231580-07-000001.hdr.sgml : 20070528 20070529183212 ACCESSION NUMBER: 0001231580-07-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070529 FILED AS OF DATE: 20070529 DATE AS OF CHANGE: 20070529 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: FARNHAM SHELLEY A CENTRAL INDEX KEY: 0001231580 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08176 FILM NUMBER: 07884992 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STREET 2: STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 BUSINESS PHONE: 6269151551 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2007-05-29 0 0000092472 SOUTHWEST WATER CO SWWC 0001231580 FARNHAM SHELLEY A 0 1 0 0 Vice President,Human Resources Common Stock 2007-05-29 4 M 0 1853 8.8759 A 2035 D Common Stock 2007-05-29 4 S 0 1853 13.4 D 182 D Common Stock 2007-05-29 4 M 0 1764 8.4353 A 1946 D Common Stock 2007-05-29 4 S 0 1764 13.4 D 182 D Common Stock 2007-05-29 4 M 0 1680 11.3905 A 1862 D Common Stock 2007-05-29 4 S 0 731 13.4 D 1131 D Common Stock 2007-05-29 4 S 0 349 13.44 D 782 D Common Stock 2007-05-29 4 S 0 500 13.43 D 282 D Common Stock 2007-05-29 4 S 0 100 13.42 D 182 D Employee Stock Options (Right to Buy) 8.8759 2007-05-29 4 M 0 1853 0 A 2007-02-07 2009-02-07 Common Stock 1853 0 D Employee Stock Options (Right to Buy) 8.4353 2007-05-29 4 M 0 1764 0 A 2007-03-31 2010-03-31 Common Stock 1764 0 D Employee Stock Options (Right to Buy) 11.3905 2007-05-29 4 M 0 1680 0 A 2007-03-08 2012-03-08 Common Stock 1680 0 D On February 7, 2002 9,261 (dividend-adjusted) options were granted to Ms. Farnham. Options vest 1/5 on each anniversary until they were fully vested on February 2, 2007. On March 31, 2003 8,820 (dividend-adjusted) options were granted to Ms. Farnham. Options vest 1/5 on each anniversary until they are fully vested on March 31, 2008. On March 8, 2005 8,400 (dividend-adjusted) options were granted to Ms. Farnham. Options vest 1/5 on each anniversary until they are fully vested on March 8, 2010. These shares are held in a trust account for Ms. Farnham's benefit. /s/ Shelley A. Farnham 2007-05-29 -----END PRIVACY-ENHANCED MESSAGE-----