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American States Water (NYSE: AWR) VP reports stock awards and tax-withholding moves

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

Rhea-AI Filing Summary

American States Water Company vice president Gladys Farrow reported routine equity compensation activity, not open-market trading. On March 12, 2026, she acquired 770 and 715.4458 common shares as grants or awards, plus 8.2130 shares credited earlier on March 5, 2026.

To cover tax obligations, the company withheld 294.6205, 81.4483, and 77.0903 shares on March 13, 2026 through tax-withholding dispositions at $74.44 per share, and 1.9756 shares were returned to the issuer on March 5, 2026. These are compensation and tax events rather than discretionary market buys or sells.

Positive

  • None.

Negative

  • None.
Insider FARROW GLADYS
Role VP - Fin., Treas., & Asst. Sec
Type Security Shares Price Value
Exercise Price or Tax Liability Common Shares 294.6205 $74.44 $22K
Exercise Price or Tax Liability Common Shares 81.4483 $74.44 $6K
Exercise Price or Tax Liability Common Shares 77.0903 $74.44 $6K
Grant/Award Common Shares 770 $0.00 $0.00
Grant/Award Common Shares 715.4458 $74.44 $53K
Disposition Common Shares 1.9756 $0.00 $0.00
Grant/Award Common Shares 8.213 $75.46 $619.75
Holdings After Transaction: Common Shares — 10,942.1069 shares (Direct)
Footnotes (5)
  1. F1. Adjustment due to partial shares
  2. F2. Der units credited on 03/05/2026 at FMV
  3. F3. 294.6205 shares withheld to satisfy tax liability
  4. F4. 81.4483 shares withheld to satisfy tax liability
  5. F5. 77.0903 shares withheld to satisfy tax liability

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Form 4 Insider Transactions: What Each Field Means →

FAQ

What insider transactions did AWR executive Gladys Farrow report?
Gladys Farrow reported share grants and related tax-withholding transactions in American States Water common shares. She received multiple stock awards in March 2026, then had portions of those shares withheld to satisfy tax liabilities, along with a very small share return to the issuer.

Were any of Gladys Farrow’s AWR share transactions open-market buys or sells?
No, the reported transactions were not open-market purchases or sales. They were coded as awards (A) and tax-withholding or issuer dispositions (F and D), meaning they relate to equity compensation and taxes rather than discretionary trading in American States Water stock.

How many American States Water shares were granted to Gladys Farrow?
Farrow received several equity awards in March 2026: 770 common shares, 715.4458 common shares, and 8.2130 common shares. These awards are reported as grants or other acquisitions and form part of her compensation in American States Water equity.

How many AWR shares were withheld for Gladys Farrow’s tax liabilities?
The filing shows 294.6205, 81.4483, and 77.0903 American States Water common shares withheld for tax liabilities. These tax-withholding dispositions occur when the issuer withholds shares from awards to cover income tax obligations instead of the executive selling shares in the market.

What does a Form 4 tax-withholding disposition mean for AWR insiders?
A tax-withholding disposition means American States Water withholds some granted shares to pay taxes owed on the award’s value. It is coded as an F transaction and does not represent the insider choosing to sell shares on the open market for investment reasons.

What role does Gladys Farrow hold at American States Water?
Gladys Farrow is reported as an officer of American States Water, serving as Vice President of Finance, Treasurer, and Assistant Secretary. Her Form 4 reflects equity compensation and related tax handling tied to that executive role, rather than standard investor trading activity.
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*
FARROW GLADYS
(Last) (First) (Middle)
630 E FOOTILL 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)
VP - Fin., Treas., & Asst. Sec
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 1.9756(1) D $0 9,901.6072 D
Common Shares 03/05/2026 A 8.213(2) A $75.46 9,909.8202 D
Common Shares 03/12/2026 A 770 A $0 10,679.8202 D
Common Shares 03/12/2026 A 715.4458 A $74.44 11,395.266 D
Common Shares 03/13/2026 F 294.6205(3) D $74.44 11,100.6455 D
Common Shares 03/13/2026 F 81.4483(4) D $74.44 11,019.1972 D
Common Shares 03/13/2026 F 77.0903(5) D $74.44 10,942.1069 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. Adjustment due to partial shares
2. Der units credited on 03/05/2026 at FMV
3. 294.6205 shares withheld to satisfy tax liability
4. 81.4483 shares withheld to satisfy tax liability
5. 77.0903 shares withheld to satisfy tax liability
/s/ Gladys Farrow 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