Form Type: 4

SEC EDGAR Link
Acccession Number:0001410636-19-000103
Date:2019-05-15
Issuer: AMERICAN WATER WORKS COMPANY, INC. (AWK)
Original Submission Date:

Reporting Person:

WARNOCK LOYD A
1 WATER STREET
CAMDEN, NJ 08102-1658

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-05-15 M 2,594 a $46.45 18,314 direct
COMMON STOCK 2019-05-15 S 2,594 d $111.04 15,720 direct
COMMON STOCK 2019-05-15 M 2,075 a $52.75 17,795 direct
COMMON STOCK 2019-05-15 S 2,075 d $111.04 15,720 direct
COMMON STOCK 2019-05-15 M 4,833 a $65.15 20,553 direct
COMMON STOCK 2019-05-15 S 4,833 d $111.04 15,720 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 46.45 2019-05-15 deemed execution date M 2,594 (d) 2020-12-31 common stock 2,594 $46.45 0 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 52.75 2019-05-15 deemed execution date M 2,075 (d) 2021-12-31 common stock 2,075 $52.75 0 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 65.15 2019-05-15 deemed execution date M 4,833 (d) 2022-12-31 common stock 4,833 $65.15 0 direct
Footnotes
IDfootnote
f1 the price reported is a weighted average price. these shares were sold in multiple transactions at prices ranging from $111.03 to $111.08, inclusive. the report person undertakes to provide to american water works company, inc., any security holder thereof, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.
f2 the option award granted on april 28, 2014, representing a right to purchase 12,273 shares, vested in three equal installments on january 1, 2015, 2016 and 2017.
f3 prior exercises of a total of 9,679 shares underlying this option were previously reported.
f4 the option award granted on february 17, 2015, representing a right to purchase 10,435 shares, vested in three equal installments on january 1, 2016, 2017 and 2018.
f5 prior exercises of a total of 8,360 shares underlying this option were previously reported.
f6 the option award granted on february 16, 2016, representing a right to purchase 10,108 shares, vested in three equal installments on january 1, 2017, 2018 and 2019.
f7 prior exercises of a total of 5,275 shares underlying this option were previously reported.

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