1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Options (right to buy)
|
01/01/2010 |
12/31/2013 |
Common Stock
|
4,064
|
$
21.5
|
D
|
Â
|
Employee Stock Options (right to buy)
|
01/01/2011 |
12/31/2014 |
Common Stock
|
5,527
|
$
21.5
|
D
|
Â
|
Employee Stock Options (right to buy)
|
Â
(5)
|
12/31/2015 |
Common Stock
|
8,723
|
$
20.7
|
D
|
Â
|
Employee Stock Options (right to buy)
|
Â
(6)
|
12/31/2016 |
Common Stock
|
9,661
|
$
22.31
|
D
|
Â
|
Employee Stock Options (right to buy)
|
Â
(7)
|
12/31/2017 |
Common Stock
|
10,358
|
$
27.08
|
D
|
Â
|
Performance Stock Unit
|
Â
(8)
|
12/31/2011 |
Common Stock
|
2,344
|
$
(8)
|
D
|
Â
|
Performance Stock Unit
|
Â
(9)
|
12/31/2012 |
Common Stock
|
2,039
|
$
(9)
|
D
|
Â
|
Performance Stock Unit
|
Â
(10)
|
12/31/2013 |
Common Stock
|
1,187
|
$
(10)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) |
Represents 1030 shares, less 406 shares withheld for taxes, awarded in connection with the initial public offering of American Water Works Company, Inc. The restricted stock units vested on January 1, 2010. |
(2) |
Represents award of 1453 restricted stock units, less 567 shares withheld for taxes, that vested on January 1, 2011. |
(3) |
Represents 300 shares purchased pursuant to the Reserved Share Program upon the closing of the IPO. |
(4) |
Represents 40 shares acquired through the Dividend Reinvestment Program (DRIP). |
(5) |
The options vest in three equal installments on January 1, 2010, 2011 and 2012. |
(6) |
The options vest in three equal installments on January 1, 2011, 2012 and 2013. |
(7) |
The options vest in three equal installments on January 1, 2012, 2013 and 2014. |
(8) |
Each performance stock unit represents a contingent right to receive one share of American Water's (the "Company") common stock. The actual number of performance stock units that may be earned will be based on the Company's annual total stockholder return ("TSR") relative to the performance of the other companies in the Dow Jones U.S. Utility Index over the three-year performance period beginning on January 1, 2009 and ending December 31, 2011. The number of performance stock units reported is equal to the target number of performance stock units that may be earned. |
(9) |
Each performance stock unit represents a contingent right to receive one share of American Water's (the "Company") common stock. The actual number of performance stock units that may be earned will be based on the Company's annual total stockholder return ("TSR") relative to the performance of the other companies in the Dow Jones U.S. Utility Index over the three-year performance period beginning on January 1, 2010 and ending December 31, 2012. The number of performance stock units reported is equal to the target number of performance stock units that may be earned. |
(10) |
Each performance stock unit represents a contingent right to receive one share of American Water's (the "Company") common stock. The actual number of performance stock units that may be earned will be based on the Company's annual total stockholder return ("TSR") relative to the performance of the other companies in the Dow Jones U.S. Utility Index over the three-year performance period beginning on January 1, 2011 and ending December 31, 2013. The number of performance stock units reported is equal to the target number of performance stock units that may be earned |