American States Water director reports share awards

AMERICAN STATES WATER CO director Roger M. Ervin reported routine equity compensation activity and a small share adjustment.

Rhea-AI Filing Summary

AMERICAN STATES WATER CO director Roger M. Ervin reported routine equity compensation activity and a small share adjustment. On May 19, 2026, he received a grant of 526.8704 Common Shares at $75.9200 per share as a non-derivative award. Earlier entries show a small grant of 3.4182 Common Shares at $73.5200 per share on September 3, 2025 and a tiny 0.047-share disposition back to the issuer on February 14, 2026 labeled as a disposition to issuer. After these transactions, Ervin directly holds 2,060.199 Common Shares, with no remaining derivative positions disclosed.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Ervin Roger M

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Shares	526.8704	$75.92	$40K
Disposition	Common Shares	0.047	$0.00	$0.00
Grant/Award	Common Shares	3.4182	$73.52	$251.31

Holdings After Transaction: Common Shares — 2,060.199 shares (Direct)

Footnotes (2)

1. F1. Der units credited on 09/03/2025 at FMV
2. F2. Adjustment due to partial shares

Key Figures

May 2026 share grant: 526.8704 Common Shares May 2026 grant price: $75.9200 per share Holdings after transactions: 2,060.199 Common Shares +3 more

6 metrics

May 2026 share grant 526.8704 Common Shares Grant/award on May 19, 2026

May 2026 grant price $75.9200 per share Fair market value for May 19, 2026 award

Holdings after transactions 2,060.199 Common Shares Direct ownership following reported transactions

September 2025 share grant 3.4182 Common Shares Grant/award on September 3, 2025

September 2025 grant price $73.5200 per share Fair market value for September 3, 2025 award

Disposition to issuer 0.0470 Common Shares Disposition to issuer on February 14, 2026

Key Terms

Grant, award, or other acquisition, Disposition to issuer, Common Shares, FMV

4 terms

Grant, award, or other acquisition financial

"transaction_code_description: Grant, award, or other acquisition"

Disposition to issuer financial

"transaction_code_description: Disposition to issuer"

Common Shares financial

"security_title: Common Shares"

Common shares are the basic units of ownership in a company that give holders a claim on profits and a right to vote on key matters, like electing the board. Think of them as membership cards in a club: they let you share in successes and losses, but in a bankruptcy or liquidation they are paid after creditors and preferred shareholders, so their value can swing more and matters for assessing risk and potential return.

FMV financial

"Der units credited on 09/03/2025 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.

FAQ

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

What did the AMERICAN STATES WATER CO (AWR) Form 4 report for Roger M. Ervin?

The Form 4 shows director Roger M. Ervin received stock awards and a small share adjustment. He was granted 526.8704 Common Shares on May 19, 2026, plus a prior 3.4182-share grant, and reported a 0.047-share disposition back to the issuer.

How many AMERICAN STATES WATER CO (AWR) shares does Roger M. Ervin hold after these transactions?

After the reported transactions, Roger M. Ervin directly holds 2,060.199 Common Shares. This figure reflects the impact of the May 19, 2026 equity grant, the earlier September 3, 2025 grant, and the small February 14, 2026 disposition to the issuer.

Were the AMERICAN STATES WATER CO (AWR) transactions open-market buys or sells?

The reported transactions were not open-market trades. They are labeled as grants or awards (acquisitions) and a disposition to the issuer. The Form 4 data indicate no open-market purchases or sales, but routine equity compensation and a minor share adjustment.

What were the grant prices for Roger M. Ervin’s AMERICAN STATES WATER CO (AWR) share awards?

Ervin’s May 19, 2026 grant of 526.8704 Common Shares was priced at $75.9200 per share. His earlier September 3, 2025 grant of 3.4182 Common Shares was priced at $73.5200 per share, both reflecting fair market value awards rather than market purchases.

What is the small disposition reported in the AMERICAN STATES WATER CO (AWR) Form 4?

The Form 4 shows a 0.047-share disposition to the issuer on February 14, 2026 at a price of $0.0000. A footnote describes this as an adjustment due to partial shares, indicating an administrative correction rather than a conventional market sale.

Does Roger M. Ervin have any AMERICAN STATES WATER CO (AWR) derivative positions after these transactions?

According to the provided Form 4 data, there are no remaining derivative positions disclosed for Ervin. The derivativeSummary section is empty, suggesting the reported activity relates only to non-derivative Common Shares held directly.

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

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Accepted by SEC EDGAR 05/19/2026 - 08:33 PM EDT Learn about SEC filing dates

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^*

Ervin Roger 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)

X	Director		10% 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)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	09/03/2025		A		3.4182(1)	A	$73.52	1,533.3756	D
Common Shares	02/14/2026		D		0.047(2)	D	$0	1,533.3286	D
Common Shares	05/19/2026		A		526.8704	A	$75.92	2,060.199	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. Der units credited on 09/03/2025 at FMV

2. Adjustment due to partial shares

	/s/ Roger M. Ervin	05/19/2026
	** 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.
* Form 4: SEC 1474 (03-26)