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American States Water Co., et al. – ‘10-K’ for 12/31/23 – ‘EX-32.1’

On:  Wednesday, 2/21/24, at 4:34pm ET   ·   For:  12/31/23   ·   Accession #:  1628280-24-5922   ·   File #s:  1-12008, 1-14431

Previous ‘10-K’:  ‘10-K’ on 3/1/23 for 12/31/22   ·   Latest ‘10-K’:  This Filing   ·   29 References:   

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

 2/21/24  American States Water Co.         10-K       12/31/23  122:23M                                    Workiva Inc Wde… FA01/FA
          Golden State Water Co.

Annual Report   —   Form 10-K   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   3.66M 
 2: EX-4.3      Instrument Defining the Rights of Security Holders  HTML     46K 
 3: EX-19.1     Report Furnished to Security Holders                HTML     85K 
 4: EX-21       Subsidiaries List                                   HTML     32K 
 5: EX-23.1     Consent of Expert or Counsel                        HTML     31K 
 6: EX-31.1     Certification -- §302 - SOA'02                      HTML     36K 
 7: EX-31.1 1   Certification -- §302 - SOA'02                      HTML     36K 
 8: EX-31.2     Certification -- §302 - SOA'02                      HTML     36K 
 9: EX-31.2 1   Certification -- §302 - SOA'02                      HTML     36K 
10: EX-32.1     Certification -- §906 - SOA'02                      HTML     33K 
11: EX-32.2     Certification -- §906 - SOA'02                      HTML     33K 
17: R1          Document and Entity Information                     HTML    110K 
18: R2          Audit Information                                   HTML     37K 
19: R3          Consolidated Balance Sheets                         HTML    204K 
20: R4          Consolidated Statements of Capitalization           HTML    129K 
21: R5          Consolidated Statements of Income                   HTML    154K 
22: R6          Consolidated Statements of Changes in Common        HTML     84K 
                Shareholders' Equity                                             
23: R7          Consolidated Statements of Cash Flows               HTML    155K 
24: R8          Balance Sheets                                      HTML    185K 
25: R9          Summary of Significant Accounting Policies          HTML     98K 
26: R10         Revenues                                            HTML     90K 
27: R11         Regulatory Matters                                  HTML     86K 
28: R12         Utility Plant and Intangible Assets                 HTML    109K 
29: R13         Derivative Instruments                              HTML     43K 
30: R14         Military Privatization                              HTML     41K 
31: R15         Earnings Per Share / Capital Stock                  HTML     71K 
32: R16         Dividend Limitations                                HTML     35K 
33: R17         Bank Debt                                           HTML     56K 
34: R18         Long-Term Debt                                      HTML     42K 
35: R19         Taxes on Income                                     HTML    150K 
36: R20         Employee Benefit Plans                              HTML    385K 
37: R21         Stock-Based Compensation Plans                      HTML     79K 
38: R22         Commitments                                         HTML     45K 
39: R23         Contingencies                                       HTML     40K 
40: R24         Leases Leases                                       HTML     50K 
41: R25         Business Segments                                   HTML    112K 
42: R26         Allowance for Doubtful Accounts                     HTML     73K 
43: R27         Statement of Cash Flows, Supplemental Disclosures   HTML     53K 
44: R28         Schedule I - Condensed Financial Information of     HTML    135K 
                Parent                                                           
45: R29         Pay vs Performance Disclosure                       HTML     44K 
46: R30         Insider Trading Arrangements                        HTML     38K 
47: R31         Summary of Significant Accounting Policies          HTML    135K 
                (Policies)                                                       
48: R32         Summary of Significant Accounting Policies Summary  HTML     65K 
                of Significant Accounting Policies (Tables)                      
49: R33         Revenues (Tables)                                   HTML     73K 
50: R34         Regulatory Matters (Tables)                         HTML     56K 
51: R35         Utility Plant and Intangible Assets (Tables)        HTML    115K 
52: R36         Derivative Instruments (Tables)                     HTML     42K 
53: R37         Earnings Per Share / Capital Stock (Tables)         HTML     69K 
54: R38         Bank Debt (Tables)                                  HTML     52K 
55: R39         Long-Term Debt (Tables)                             HTML     38K 
56: R40         Taxes on Income (Tables)                            HTML    146K 
57: R41         Employee Benefit Plans (Tables)                     HTML    370K 
58: R42         Stock-Based Compensation Plans (Tables)             HTML     68K 
59: R43         Commitments (Tables)                                HTML     39K 
60: R44         Leases (Tables)                                     HTML     49K 
61: R45         Business Segments (Tables)                          HTML    108K 
62: R46         Allowance for Doubtful Accounts (Tables)            HTML     71K 
63: R47         Statement of Cash Flows, Supplemental Disclosures   HTML     53K 
                (Tables)                                                         
64: R48         Schedule I - Condensed Financial Information of     HTML     52K 
                Parent (Tables)                                                  
65: R49         Summary of Significant Accounting Policies          HTML    187K 
                (Details)                                                        
66: R50         Revenues (Details)                                  HTML     73K 
67: R51         Revenues Disaggregation of Revenue (Details)        HTML     83K 
68: R52         Revenues Contract assets and Contract Liabilities   HTML     60K 
                (Details)                                                        
69: R53         Regulatory Matters - Narrative (Details)            HTML    151K 
70: R54         Regulatory Matters - Schedule of Regulatory         HTML     71K 
                Liabilities and Assets (Details)                                 
71: R55         Utility Plant and Intangible Assets - By Major      HTML     93K 
                Asset Class (Details)                                            
72: R56         Utility Plant and Intangible Assets - Schedule of   HTML     67K 
                Components (Details)                                             
73: R57         Utility Plant and Intangible Assets - Schedule of   HTML     45K 
                Maturity (Details)                                               
74: R58         Utility Plant and Intangible Assets - Narrative     HTML     34K 
                (Details)                                                        
75: R59         Utility Plant and Intangible Assets - ARO           HTML     37K 
                Rollforward (Details)                                            
76: R60         Derivative Instruments (Details)                    HTML     54K 
77: R61         Military Privatization (Details)                    HTML     39K 
78: R62         Earnings Per Share / Capital Stock -Schedule of     HTML     91K 
                EPS (Details)                                                    
79: R63         Earnings Per Share / Capital Stock- Narrative       HTML     47K 
                (Details)                                                        
80: R64         Dividend Limitations (Details)                      HTML     46K 
81: R65         Bank Debt (Details)                                 HTML    136K 
82: R66         Long-Term Debt (Details)                            HTML     73K 
83: R67         Long-Term Debt 2 (Details)                          HTML     67K 
84: R68         Taxes on Income (Details)                           HTML    120K 
85: R69         Employee Benefit Plans - Narrative (Details)        HTML    100K 
86: R70         Employee Benefit Plans - Funded Status of Pension   HTML     74K 
                Plan and Post-Retirement Medical Plan (Details)                  
87: R71         Employee Benefit Plans - Pension Benefits and       HTML    110K 
                Post-Retirement Medical Benefits Recognized on                   
                Balance Sheet (Details)                                          
88: R72         Employee Benefit Plans - Components of Net          HTML     80K 
                Periodic Pension Costs (Details)                                 
89: R73         Employee Benefit Plans - Asset Allocation           HTML     55K 
                (Details)                                                        
90: R74         Employee Benefit Plans - Schedule of Fair Value     HTML     58K 
                Measured by Net Asset Value (Details)                            
91: R75         Employee Benefit Plans - Fair Value Hierarchy       HTML     63K 
                (Details)                                                        
92: R76         Employee Benefit Plans - Future Benefit Payments    HTML     51K 
                (Details)                                                        
93: R77         Employee Benefit Plans - Fair Value of Assets       HTML     63K 
                (Details)                                                        
94: R78         Employee Benefit Plans - Reconciliation of Benefit  HTML     57K 
                Obligations and Change in Benefit Obligation                     
                (Details)                                                        
95: R79         Employee Benefit Plans - Schedule of Defined        HTML     91K 
                Benefit Plan (Details)                                           
96: R80         Employee Benefit Plans - Components of SERP         HTML     56K 
                Expense (Details)                                                
97: R81         Employee Benefit Plans - Estimated Future Benefit   HTML     47K 
                Payments for SERP (Details)                                      
98: R82         Stock-Based Compensation Plans (Details)            HTML     92K 
99: R83         Stock-Based Compensation Plans 2 (Details)          HTML    100K 
100: R84         Commitments (Details)                               HTML     77K  
101: R85         Commitments Commitments 2 (Details)                 HTML     42K  
102: R86         Commitments (Details)                               HTML     71K  
103: R87         Contingencies (Details)                             HTML     54K  
104: R88         Leases Lease- additional information (Details)      HTML     37K  
105: R89         Leases Supplemental lease information (Details)     HTML     45K  
106: R90         Leases Lessee Operating Lease Liability Maturity    HTML     57K  
                (Details)                                                        
107: R91         Business Segments (Details)                         HTML     89K  
108: R92         Business Segments 2 (Details)                       HTML     45K  
109: R93         Allowance for Doubtful Accounts (Details)           HTML     57K  
110: R94         Statement of Cash Flows, Supplemental Disclosures   HTML     47K  
                (Details)                                                        
111: R95         SCHEDULE I - CONDENSED FINANCIAL INFORMATION OF     HTML    110K  
                PARENT - Condensed Balance Sheets (Details)                      
112: R96         SCHEDULE I - CONDENSED FINANCIAL INFORMATION OF     HTML     87K  
                PARENT - Condensed Statements of Income (Details)                
113: R97         SCHEDULE I - CONDENSED FINANCIAL INFORMATION OF     HTML     68K  
                PARENT - Condensed Statements of Cash Flows                      
                (Details)                                                        
114: R98         SCHEDULE I - CONDENSED FINANCIAL INFORMATION OF     HTML     67K  
                PARENT - Basis of Presentation Narrative (Details)               
115: R99         SCHEDULE I - CONDENSED FINANCIAL INFORMATION OF     HTML     67K  
                PARENT - Note Payable to Banks Narrative (Details)               
116: R100        SCHEDULE I - CONDENSED FINANCIAL INFORMATION OF     HTML     48K  
                PARENT - Note Payable to Banks Schedule (Details)                
117: R101        SCHEDULE I - CONDENSED FINANCIAL INFORMATION OF     HTML     35K  
                PARENT - Dividend from Subsidiaries (Details)                    
119: XML         IDEA XML File -- Filing Summary                      XML    218K  
122: XML         XBRL Instance -- awr-20231231_htm                    XML   4.52M  
118: EXCEL       IDEA Workbook of Financial Report Info              XLSX    293K  
13: EX-101.CAL  XBRL Calculations -- awr-20231231_cal                XML    357K 
14: EX-101.DEF  XBRL Definitions -- awr-20231231_def                 XML   1.90M 
15: EX-101.LAB  XBRL Labels -- awr-20231231_lab                      XML   3.00M 
16: EX-101.PRE  XBRL Presentations -- awr-20231231_pre               XML   2.36M 
12: EX-101.SCH  XBRL Schema -- awr-20231231                          XSD    332K 
120: JSON        XBRL Instance as JSON Data -- MetaLinks              739±  1.12M  
121: ZIP         XBRL Zipped Folder -- 0001628280-24-005922-xbrl      Zip    914K  


‘EX-32.1’   —   Certification — §906 – SOA’02


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 C:   C: 
  Document  
Exhibit 32.1
Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

In connection with the Annual Report of American States Water Company and Golden State Water Company (the “Registrant”) on Form 10-K for the year ended December 31, 2023, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Robert J. Sprowls, certify, pursuant to 18 U.S.C. § 1350, as adopted pursuant to § 906 of the Sarbanes-Oxley Act of 2002, that, to the best of my knowledge:
(1)The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934; and
(2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Registrant.
/s/ ROBERT J. SPROWLS
Robert J. Sprowls
President and Chief Executive Officer
Dated: February 21, 2024



Dates Referenced Herein

This ‘10-K’ Filing    Date    Other Filings
Filed on:2/21/24None on these Dates
For Period end:12/31/23
 List all Filings 


3 Subsequent Filings that Reference this Filing

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

 5/07/24  American States Water Co.         10-Q        3/31/24   62:6.5M                                   Workiva Inc Wde… FA01/FA
 2/27/24  American States Water Co.         424B5                  2:347K                                   Toppan Merrill/FA
 2/26/24  American States Water Co.         S-3ASR      2/26/24    4:326K                                   Toppan Merrill/FA


26 Previous Filings that this Filing References

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

11/06/23  American States Water Co.         10-Q        9/30/23   65:61M                                    Workiva Inc Wde… FA01/FA
 7/05/23  American States Water Co.         8-K:1,2,9   6/28/23   14:101M                                   Workiva Inc Wde… FA01/FA
 5/26/23  American States Water Co.         8-K:5,9     5/23/23   12:322K                                   Workiva Inc Wde… FA01/FA
 3/31/23  American States Water Co.         8-K:5,9     3/28/23   13:359K                                   Workiva Inc Wde… FA01/FA
 3/01/23  American States Water Co.         10-K       12/31/22  122:20M                                    Workiva Inc Wde… FA01/FA
 2/10/23  American States Water Co.         8-K:5,9     2/07/23   12:383K                                   Workiva Inc Wde… FA01/FA
 5/02/22  American States Water Co.         10-Q        3/31/22   57:6.9M
 4/01/22  American States Water Co.         8-K:5,9     3/30/22   13:369K
 2/22/22  American States Water Co.         10-K       12/31/21  126:19M
 2/04/22  American States Water Co.         8-K:5,9     1/31/22   12:385K
 1/21/22  American States Water Co.         8-K:5,9     1/14/22   13:316K
 8/13/21  American States Water Co.         8-K:5,9     8/12/21   12:246K
 2/05/21  American States Water Co.         8-K:5,9     2/01/21   13:382K
 7/14/20  American States Water Co.         8-K:2,8     7/08/20   14:28M
11/03/17  American States Water Co.         8-K:5,9    10/30/17    2:73K                                    Toppan Merrill/FA
 5/19/16  American States Water Co.         8-K:5,9     5/17/16    2:313K                                   Toppan Merrill/FA
 5/20/15  American States Water Co.         8-K:5,9     5/18/15    5:636K                                   Toppan Merrill/FA
 6/19/13  American States Water Co.         8-K:5,9     6/13/13    2:223K                                   Toppan Merrill/FA
 5/13/11  American States Water Co.         8-K:5,9     5/10/11    3:226K                                   Business Wire/FA
 7/31/09  American States Water Co.         8-K:5,9     7/27/09    6:324K                                   Business Wire/FA
12/12/08  Golden State Water Co.            S-3                    6:445K                                   DG3/FA
11/12/08  American States Water Co.         S-3D       11/12/08    4:227K                                   DG3/FA
11/09/05  American States Water Co.         10-Q        9/30/05   11:1.6M                                   Toppan Merrill/FA
10/13/05  American States Water Co.         8-K:1,2,9  10/11/05    3:575K                                   Toppan Merrill/FA
 3/30/99  American States Water Co.         10-K       12/31/98    9:470K                                   Bowne of Los Ang… Inc/FA
 3/30/95  Golden State Water Co.            10-K405    12/31/94    6:216K                                   Bowne of Los Ang… Inc/FA
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