0001181431-14-008737.txt : 20140224 0001181431-14-008737.hdr.sgml : 20140224 20140224162012 ACCESSION NUMBER: 0001181431-14-008737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140101 FILED AS OF DATE: 20140224 DATE AS OF CHANGE: 20140224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: American Water Works Company, Inc. CENTRAL INDEX KEY: 0001410636 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 510063696 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1025 LAUREL OAK ROAD CITY: VOORHEES STATE: NJ ZIP: 08043 BUSINESS PHONE: 856-346-8200 MAIL ADDRESS: STREET 1: 1025 LAUREL OAK ROAD CITY: VOORHEES STATE: NJ ZIP: 08043 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERBA JEFFRY E CENTRAL INDEX KEY: 0001042959 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34028 FILM NUMBER: 14637172 MAIL ADDRESS: STREET 1: ALVARADO SQUARE M S 2806 CITY: ALBUQUERQUE STATE: NM ZIP: 87158 4 1 rrd403486.xml X0306 4 2014-01-01 0 0001410636 American Water Works Company, Inc. AWK 0001042959 STERBA JEFFRY E 1025 LAUREL OAK ROAD VOORHEES NJ 08043 0 1 0 0 President and CEO Common Stock 2014-01-01 4 F 0 1232 42.26 D 53034 D Common Stock 2014-02-20 4 A 0 8937 0 A 61971 D Performance Stock Unit 2014-02-20 4 A 0 12612 0 A 2016-12-31 Common Stock 12612 12612 D Employee Stock Option (right to buy) 44.06 2014-02-20 4 A 0 144761 0 A 2020-12-31 Common Stock 144761 144761 D The shares indicated constitute restricted stock units that settle in common stock on a one share per unit basis. The restricted stock units vest fully on January 1, 2015. Each performance stock unit represents a contingent right to receive one share of common stock of American Water Works Company, Inc. (the "Company"). The actual number of performance stock units that may be earned will be based on the Company's 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, 2014 and ending December 31, 2016. The number of performance stock units shown in column 5 is equal to the target number of performance stock units that may be earned. Represents the end of the performance period to which the performance stock units relate. In previous Form 4s derivative securities with different attributes were erroneously aggregated and reported as one class. In accordance with interpretations of the staff of the Securities and Exchange Commission, derivatives with different attributes should be reported as different classes of derivatives. Based on these staff interpretations, the newly granted derivative securities are reported herein without aggregation. The options vest fully on January 1, 2015. /s/ Thomas Wyatt by Power of Attorney previously filed 2014-02-24