1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (right to buy)
|
Â
(2)
|
12/31/2018 |
Common Stock
|
1,114
|
$
34.12
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(3)
|
12/31/2019 |
Common Stock
|
1,776
|
$
39.45
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
12/31/2020 |
Common Stock
|
2,053
|
$
44.06
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
12/31/2021 |
Common Stock
|
1,990
|
$
52.75
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
12/31/2022 |
Common Stock
|
1,969
|
$
65.15
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
890 of the shares indicated are restricted stock units issued under the American Water Works Company, Inc. ("American Water") 2007 Omnibus Equity Compensation Plan (the "Plan"), which settle solely in shares of American Water common stock on a one share per unit basis. The restricted stock units vest on the first, second and third anniversaries of the date of grant. |
(2) |
This option was issued under the Plan and vested in three equal installments on January 1, 2013, 2014 and 2015. |
(3) |
This option was issued under the Plan and vested in three equal installments on January 1, 2014, 2015 and 2016. |
(4) |
This option was issued under the Plan and vested in three equal installments on January 1, 2015, 2016 and 2017. |
(5) |
This option was issued under the Plan and vests in three equal installments on January 1, 2016, 2017 and 2018. |
(6) |
This option was issued under the Plan and vests in three equal installments on January 1, 2017, 2018 and 2019. |