STOCK TITAN
  1. Home
  2. Sec-filings
  3. AWR
  4. [Form 4/A] AMERICAN STATES WATER CO Amended Insider Trading Activity

AWR (AWR) director Holloway records multiple exempt share awards in Form 4/A

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4/A

Rhea-AI Filing Summary

HOLLOWAY ANNE M reported acquisition or exercise transactions in this Form 4 filing.

AMERICAN STATES WATER CO director Anne M. Holloway reported multiple equity awards of common shares, not open-market purchases. On November 14, 2025 she received 135.3633 common shares at $74.5900 per share. On February 23, 2026 she received 138.2990 shares at $73.5000 per share. She then received 134.8087 shares on May 18, 2026 and 526.8704 shares on May 19, 2026, both at $75.9200 per share, as compensation-related grants. Following the latest award, she directly holds 40,079.8984 common shares. This amended Form 4 corrects the original transaction code from a purchase to an award and notes the transaction was exempt from Section 16(b) under Rule 16b-3.

Positive

  • None.

Negative

  • None.
Insider HOLLOWAY ANNE M
Role null
Type Security Shares Price Value
Grant/Award Common Shares 526.87 $75.92 $40K
Grant/Award Common Shares 134.809 $75.92 $10K
Grant/Award Common Shares 138.299 $73.50 $10K
Grant/Award Common Shares 135.363 $74.59 $10K
Holdings After Transaction: Common Shares — 40,079.898 shares (Direct, null)
Footnotes (1)
  1. Der units credited on 11/14/2025 at FMV Der units credited on 02/23/2026 at FMV Der units credited on 05/18/2026 at FMV The original Form 4, filed on May 19, 2026, is being amended solely to correct the transaction code from "P" to "A" as the transaction was exempt from Section 16(b) pursuant to Rule 16b-3.
Latest award shares 526.8704 shares Common Shares granted on May 19, 2026 at $75.9200
Holdings after latest award 40,079.8984 shares Total common shares directly held after May 19, 2026 grant
May 18, 2026 award 134.8087 shares at $75.9200 Common Shares grant classified as award acquisition
Feb 23, 2026 award 138.2990 shares at $73.5000 Common Shares grant coded as award acquisition
Nov 14, 2025 award 135.3633 shares at $74.5900 Common Shares grant to director Anne M. Holloway
Grant, award, or other acquisition financial
"transaction_code_description": "Grant, award, or other acquisition""
Section 16(b) regulatory
"transaction was exempt from Section 16(b) pursuant to Rule 16b-3"
A federal rule that requires company insiders—like officers, directors and large shareholders—to return any profits made from buying and selling the company’s stock within a six-month window. It matters to investors because it discourages short-term trades that could exploit non-public information and helps protect outside shareholders by creating a simple, enforceable way to recover unfair gains, much like a rule stopping someone from flipping a limited-edition item for quick profit after getting early access.
Rule 16b-3 regulatory
"exempt from Section 16(b) pursuant to Rule 16b-3"
Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.
Form 4 regulatory
"The original Form 4, filed on May 19, 2026, is being amended"
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
FMV financial
"Der units credited on 05/18/2026 at FMV"
Fair market value (FMV) is the price a willing buyer and a willing seller would agree on for an asset when neither is under pressure and both have full information. For investors, FMV is a baseline for judging whether a stock, bond, property or business is priced reasonably—like checking if a used car’s listed price matches what similar cars actually sell for—so it helps decide whether to buy, sell or hold.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
HOLLOWAY ANNE M
(Last)(First)(Middle)
630 E FOOTHILL BLVD
(Street)
SAN DIMAS CALIFORNIA 91773
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
AMERICAN STATES WATER CO [ AWR ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/19/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)
05/19/2026
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Shares11/14/2025A(4)135.3633(1)A$74.5939,279.9203D
Common Shares02/23/2026A(4)138.299(2)A$73.539,418.2192D
Common Shares05/18/2026A(4)134.8087(3)A$75.9239,553.028D
Common Shares05/19/2026A(4)526.8704A$75.9240,079.8984D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Der units credited on 11/14/2025 at FMV
2. Der units credited on 02/23/2026 at FMV
3. Der units credited on 05/18/2026 at FMV
4. The original Form 4, filed on May 19, 2026, is being amended solely to correct the transaction code from "P" to "A" as the transaction was exempt from Section 16(b) pursuant to Rule 16b-3.
/s/ Anne M Holloway05/20/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did AWR director Anne M. Holloway report in this amended Form 4?

Anne M. Holloway reported multiple grants of AMERICAN STATES WATER CO common shares as compensation, not open-market purchases. The filing amends an earlier report to show the May 19, 2026 transaction was an award exempt under Rule 16b-3, rather than a standard market trade.

How many AWR shares did Anne M. Holloway receive in the latest award?

In the latest award dated May 19, 2026, Anne M. Holloway received 526.8704 AMERICAN STATES WATER CO common shares at $75.9200 per share. This was recorded as a grant or award acquisition, classified as exempt from Section 16(b) under Rule 16b-3 in the amended filing.

What are Anne M. Holloway’s total AWR holdings after these transactions?

After the May 19, 2026 award, Anne M. Holloway directly holds 40,079.8984 AMERICAN STATES WATER CO common shares. This total reflects cumulative compensation-related share awards reported in the filing, rather than open-market buying activity, and shows her ongoing equity exposure to the company.

Were any of Anne M. Holloway’s AWR transactions open-market purchases or sales?

The reported AWR transactions are classified as grants or awards, not open-market purchases or sales. Each is coded “A” for award acquisition, and the amended filing clarifies that the May 19, 2026 transaction is exempt from Section 16(b) under Rule 16b-3, indicating a compensation-related grant.

Why was this AWR Form 4 amended for Anne M. Holloway?

The Form 4 was amended to correct the transaction code for the May 19, 2026 entry from “P” (purchase) to “A” (award). The footnote explains the transaction was exempt from Section 16(b) pursuant to Rule 16b-3, clarifying it is a compensation grant rather than an open-market purchase.

What earlier AWR share awards to Anne M. Holloway are reported in this filing?

The filing reports awards of 135.3633 shares on November 14, 2025 at $74.5900, 138.2990 shares on February 23, 2026 at $73.5000, and 134.8087 shares on May 18, 2026 at $75.9200. All are recorded as compensation-related grants of AMERICAN STATES WATER CO common shares.