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American States Water (NYSE: AWR) CEO granted shares, withholds stock for taxes

Filing Impact
(Very High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

AMERICAN STATES WATER CO President & CEO Robert J. Sprowls reported routine equity compensation and tax-related share withholdings. On March 12, 2026, he received several common share awards, including 17,693.2752 shares at $74.44 per share and a 7,362-share grant at no cost, plus smaller plan-related additions.

To satisfy tax liabilities, 9,000.6863, 717.8400 and 710.0818 common shares were withheld on March 13, 2026 at $74.44 per share, classified as tax-withholding dispositions rather than open-market sales. After these transactions, he holds 218,540.4468 common shares directly and 531.9110 shares indirectly through a 401(k).

Positive

  • None.

Negative

  • None.
Insider SPROWLS ROBERT J
Role President & CEO
Type Security Shares Price Value
Exercise Price or Tax Liability Common Shares 9,000.6863 $74.44 $670K
Exercise Price or Tax Liability Common Shares 717.84 $74.44 $53K
Exercise Price or Tax Liability Common Shares 710.0818 $74.44 $53K
Grant/Award Common Shares 7,362 $0.00 $0.00
Grant/Award Common Shares 16.3102 $0.00 $0.00
Grant/Award Common Shares 17,693.2752 $74.44 $1.32M
Grant/Award Common Shares 1,121.1727 $76.17 $85K
Disposition Common Shares 2.1341 $0.00 $0.00
Grant/Award Common Shares 74.2973 $75.46 $6K
Holdings After Transaction: Common Shares — 531.911 shares (Indirect, 401k); Common Shares — 218,540.4468 shares (Direct)
Footnotes (7)
  1. F1. Adj for partial share
  2. F2. Der units credited on 03/05/2026 at FMV
  3. F3. Updated DRIP
  4. F4. Updated 401k
  5. F5. 9,000.6863 shares withheld to satisfy tax liability
  6. F6. 717.8400 shares withheld to satisfy tax liability
  7. F7. 710.0818 shares withheld to satisfy tax liability

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FAQ

What does the AMERICAN STATES WATER CO (AWR) Form 4 for Robert Sprowls report?
The Form 4 shows President & CEO Robert J. Sprowls received multiple common share awards and plan-related credits in early March 2026, along with share withholdings used to cover tax liabilities, all reported as non-derivative equity transactions rather than open-market purchases or sales.

How many AMERICAN STATES WATER (AWR) shares were withheld to cover Robert Sprowls’ taxes?
A total of 9,000.6863, 717.8400 and 710.0818 common shares were withheld on March 13, 2026 at $74.44 per share. Footnotes state each block was withheld specifically to satisfy tax liabilities, rather than being sold into the open market.

What stock awards did AWR CEO Robert Sprowls receive in this Form 4?
Robert Sprowls received several common share awards, including 17,693.2752 shares at $74.44, 7,362 shares at no cost, 1,121.1727 shares at $76.17, 74.2973 shares at $75.46, and 16.3102 shares credited indirectly to a 401(k), all classified as grant or award acquisitions.

How many AMERICAN STATES WATER (AWR) shares does Robert Sprowls hold after these transactions?
After the reported March 2026 transactions, Robert Sprowls directly holds 218,540.4468 common shares of AMERICAN STATES WATER CO and indirectly holds 531.9110 common shares through a 401(k) account, as reflected in the ownership balances following each transaction entry.

Were Robert Sprowls’ AWR transactions open-market buys or sales?
The transactions were primarily grant or award acquisitions and tax-withholding dispositions. Codes “A” reflect grants or awards of common shares, while code “F” entries represent shares withheld to pay tax liabilities. The Form 4 shows no open-market purchases or sales in this period.
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*
SPROWLS ROBERT J
(Last) (First) (Middle)
630 EAST 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)
President & CEO
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 D 2.1341(1) D $0 202,718.3097 D
Common Shares 03/05/2026 A 74.2973(2) A $75.46 202,792.607 D
Common Shares 03/06/2026 A 1,121.1727(3) A $76.17 203,913.7797 D
Common Shares 03/12/2026 A 7,362 A $0 211,275.7797 D
Common Shares 03/12/2026 A 16.3102(4) A $0 531.911 I 401k
Common Shares 03/12/2026 A 17,693.2752 A $74.44 228,969.0549 D
Common Shares 03/13/2026 F 9,000.6863(5) D $74.44 219,968.3686 D
Common Shares 03/13/2026 F 717.84(6) D $74.44 219,250.5286 D
Common Shares 03/13/2026 F 710.0818(7) D $74.44 218,540.4468 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. Adj for partial share
2. Der units credited on 03/05/2026 at FMV
3. Updated DRIP
4. Updated 401k
5. 9,000.6863 shares withheld to satisfy tax liability
6. 717.8400 shares withheld to satisfy tax liability
7. 710.0818 shares withheld to satisfy tax liability
/s/ Robert J. Sprowls 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