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AWR (NYSE: AWR) VP granted shares as stock withheld to cover taxes

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Form Type
4

Rhea-AI Filing Summary

AMERICAN STATES WATER CO vice president of water operations David R. Schickling reported a series of compensation-related stock transactions in March 2026. On March 12, he received grants totaling 770 and 630.325 common shares, with one grant priced at $74.44 per share. Earlier, on March 5, he acquired 8.213 shares at $75.46, 14.2532 shares through his 401(k), and had 1.6752 shares returned to the issuer.

To satisfy tax liabilities tied to these awards, 259.568, 81.4483, and 77.0903 shares were withheld on March 13 at $74.44 per share, all coded as tax-withholding dispositions rather than open-market sales. Following these transactions, one entry shows 3,238.5699 common shares held directly and 279.1985 shares held indirectly through a 401(k) account.

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Insider Schickling David R
Role Vice President Water Operation
Type Security Shares Price Value
Tax Withholding Common Shares 259.568 $74.44 $19K
Tax Withholding Common Shares 81.448 $74.44 $6K
Tax Withholding Common Shares 77.09 $74.44 $6K
Grant/Award Common Shares 770 $0.00 --
Grant/Award Common Shares 630.325 $74.44 $47K
Grant/Award Common Shares 14.253 $0.00 --
Disposition Common Shares 1.675 $0.00 --
Grant/Award Common Shares 8.213 $75.46 $619.75
Holdings After Transaction: Common Shares — 3,397.109 shares (Direct); Common Shares — 279.199 shares (Indirect, 401k)
Footnotes (1)
  1. Updated 401k Adjustment due to partial shares Der units credited on 03/05/2026 at FMV 259.5680 shares withheld to satisfy tax liability 81.4483 shares withheld to satisfy tax liability 77.0903 shares withheld to satisfy tax liability
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED 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*
Schickling David R
(Last) (First) (Middle)
630 E FOOTHILL BLVD
(Street)
SAN DIMAS CA 91773
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AMERICAN STATES WATER CO [ AWR ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President Water Operation
3. Date of Earliest Transaction (Month/Day/Year)
03/12/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Shares 03/05/2026 A 14.2532(1) A $0 279.1985 I 401k
Common Shares 03/05/2026 D 1.6752(2) D $0 2,248.1385 D
Common Shares 03/05/2026 A 8.213(3) A $75.46 2,256.3515 D
Common Shares 03/12/2026 A 770 A $0 3,026.3515 D
Common Shares 03/12/2026 A 630.325 A $74.44 3,656.6765 D
Common Shares 03/13/2026 F 259.568(4) D $74.44 3,397.1085 D
Common Shares 03/13/2026 F 81.4483(5) D $74.44 3,315.6602 D
Common Shares 03/13/2026 F 77.0903(6) D $74.44 3,238.5699 D
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Updated 401k
2. Adjustment due to partial shares
3. Der units credited on 03/05/2026 at FMV
4. 259.5680 shares withheld to satisfy tax liability
5. 81.4483 shares withheld to satisfy tax liability
6. 77.0903 shares withheld to satisfy tax liability
/s/ David R. Schickling 03/16/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did AWR executive David Schickling report?

David Schickling reported stock grants and tax-related share withholdings. He received multiple common share awards and had several hundred shares withheld to cover tax liabilities, reflecting routine compensation and tax-settlement activity rather than open-market buying or selling.

How many AMERICAN STATES WATER CO shares were granted to the AWR vice president?

Schickling received several common share awards, including 770 shares and 630.325 shares on March 12, plus smaller grants of 8.213 shares and 14.2532 shares on March 5. These were recorded as compensation-related acquisitions rather than open-market purchases.

Were any of the AWR insider transactions open-market sales or purchases?

None of the reported transactions were open-market trades. Dispositions were coded as tax-withholding or issuer-related, and acquisitions were recorded as grants or awards, indicating compensation and tax settlement rather than discretionary buying or selling in the market.

How many AWR shares were withheld for taxes from David Schickling’s awards?

To cover tax liabilities, 259.568, 81.4483, and 77.0903 common shares were withheld on March 13 at $74.44 per share. These Form 4 entries are classified as tax-withholding dispositions, not open-market sales to third-party buyers.

What are David Schickling’s reported AWR share holdings after these transactions?

After the reported transactions, one entry shows Schickling holding 3,238.5699 common shares directly and 279.1985 shares indirectly through a 401(k) plan. These figures give a snapshot of his reported ownership following the March 2026 compensation and tax-withholding activity.

How are AWR shares held by David Schickling’s 401(k) reported?

Shares held through Schickling’s 401(k) are classified as indirect ownership. On March 5, his 401(k) position increased by 14.2532 shares to 279.1985 shares, reflecting retirement-plan related accumulation rather than conventional market transactions in AMERICAN STATES WATER CO stock.