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Sprowls Robert J – ‘4’ for 3/11/20 re: American States Water Co.

On:  Friday, 3/13/20, at 7:54pm ET   ·   For:  3/11/20   ·   Accession #:  1209191-20-19054   ·   File #:  1-14431

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/13/20  Sprowls Robert J                  4                      1:11K  American States Water Co.         DONNELLEY FIN… File16/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 Submission -- doc4.xml/3.6                   HTML      3K


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Form 4 Submission
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  3/11/20
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1056903
Issuer Name:  AMERICAN STATES WATER CO
Issuer Trading Symbol:  AWR
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1297166
Owner Name:  SPROWLS ROBERT J
Reporting Owner Address:
Owner Street 1:  630 E FOOTHILL BLVD.
Owner Street 2:
Owner City:  SAN DIMAS
Owner State:  CA
Owner ZIP Code:  91773
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  President & CEO
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  6/5/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  327.4988
Footnote ID:  F1
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  120,867.2058
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  9/5/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  285.8004
Footnote ID:  F1
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  121,153.0062
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  12/4/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  315.3374
Footnote ID:  F1
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  121,468.3435
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  3/2/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  29.7997
Footnote ID:  F2
Transaction Price Per Share:
Value:  80.49
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  121,498.1432
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  3/4/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  355.2565
Footnote ID:  F1
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  121,853.3997
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  3/12/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  5.3287
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  471.0857
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  401k
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  3/11/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  22,136.3805
Transaction Price Per Share:
Value:  79.80
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  143,989.7802
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Shares
Transaction Date:
Value:  3/12/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  10,973.0672
Footnote ID:  F3
Transaction Price Per Share:
Value:  71.88
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  133,016.713
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  Updated DRIP
Footnote - F2:  DER unites credited on 3/2/20 as dividend at FMV
Footnote - F3:  10973.0672 shares withheld to satisfy tax liability.
Remarks:
Owner Signature:
Signature Name:  /s/ Robert J. Sprowls
Signature Date:  3/13/20


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