AWR Form 144: Proposed Sale of 700 Common Shares

AWR (Form 144) reports proposed sales of common shares by a filer through Charles Schwab Corporation on the NYSE.

Rhea-AI Filing Summary

AWR (Form 144) reports proposed sales of common shares by a filer through Charles Schwab Corporation on the NYSE. The excerpt lists a reported quantity of 700 common shares and individual historical grant/exercise entries of 200, 176, 131, and 193 shares with exercise dates shown.

Insights

Securities Compliance Counsel

Form 144 discloses proposed resale of common stock via a broker-dealer.

The filing lists proposed sales routed through Charles Schwab Corporation on the NYSE and records a reported line item of 700 common shares. The entries include dated stock option exercise lines with specified share counts.

Timing and final execution are not shown; subsequent amendments or broker confirmations will state whether these listed shares were actually sold.

Key Figures

Reported line quantity: 700 common shares Exercise entry 1: 200 shares Exercise entry 2: 176 shares +3 more

6 metrics

Reported line quantity 700 common shares listed with broker Charles Schwab on the NYSE

Exercise entry 1 200 shares Stock Option Exercise dated 05/23/2006

Exercise entry 2 176 shares Stock Option Exercise dated 05/15/2007

Exercise entry 3 131 shares Stock Option Exercise dated 08/30/2007

Exercise entry 4 193 shares Stock Option Exercise dated 05/10/2012

Exchange NYSE Trading venue shown for the proposed resale

Key Terms

Form 144, Stock Option Exercise, Charles Schwab Corporation

3 terms

Form 144 regulatory

"144: Securities To Be Sold"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Stock Option Exercise financial

"Stock Option Exercise | Issuer | 200 | 05/23/2006"

A stock option exercise is the act of using a previously granted right to buy shares of a company's stock at a specific, predetermined price by paying that price and receiving the shares. It matters to investors because exercising changes who owns the shares (which can dilute existing ownership), can trigger taxable events and shift potential gains or losses, and affects voting power and the company’s outstanding share count—like turning a voucher into an actual product that becomes part of circulating supply.

Charles Schwab Corporation market

"Common Shares | Charles Schwab Corporation 3000 Schwab Way"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does AWR's Form 144 filing disclose?

It discloses a proposed resale of common shares through Charles Schwab Corporation on the NYSE. The excerpt lists a reported line of 700 common shares and multiple dated stock option exercise entries of 200, 176, 131, and 193 shares.

Does the Form 144 show shares were sold or only proposed for sale?

The filing excerpt shows proposed sales rather than completed trades. It lists securities to be sold and exercise dates; no broker confirmation or executed trade details are included in the provided text.

Who is the broker-dealer named on the Form 144?

The excerpt names Charles Schwab Corporation as the broker-dealer handling the proposed transactions on the NYSE. The filing ties the listed proposed resale activity to that broker-dealer line.

What specific share counts appear in the excerpt?

The excerpt lists a reported quantity of 700 common shares and separate dated option-exercise lines showing 200, 176, 131, and 193 shares. These figures are presented verbatim in the text.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/19/2026 - 02:29 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001187379
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	AMERICAN STATES WATER CO
SEC File Number	001-14431
Address of Issuer	630 E FOOTHILL BLVD SAN DIMAS CALIFORNIA 91773-9016
Phone	9093943600
Name of Person for Whose Account the Securities are To Be Sold	HOLLOWAY ANNE M
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Shares	Charles Schwab Corporation 3000 Schwab Way Westlake TX 76262	700	53284.00	39192653	05/19/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Shares	05/23/2006	Stock Option Exercise	Issuer			200	05/23/2006	Cash
Common Shares	05/15/2007	Stock Option Exercise	Issuer			176	05/15/2007	Cash
Common Shares	08/30/2007	Stock Option Exercise	Issuer			131	08/30/2007	Cash
Common Shares	05/10/2012	Stock Option Exercise	Issuer			193	05/10/2012	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks	Shares to be sold in ANNE M HOLLOWAY TRUST
Date of Notice	05/19/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	ANNE M HOLLOWAY
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)