-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, T+jX1jfLHPrIHyndoePFXd+E2BVoO836IK6PcukmvDRRBIEgs2qeTbt4EdH/jRhz 6Rov2h3lRh4GEYwMHijB+w== 0000898430-97-000576.txt : 19970222 0000898430-97-000576.hdr.sgml : 19970222 ACCESSION NUMBER: 0000898430-97-000576 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWEST WATER CO CENTRAL INDEX KEY: 0000092472 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 951840947 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-31592 FILM NUMBER: 97531508 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVENUE STREET 2: SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 FORMER COMPANY: FORMER CONFORMED NAME: SUBURBAN WATER SYSTEMS DATE OF NAME CHANGE: 19751202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GARNIER ANTON C CENTRAL INDEX KEY: 0000937852 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AAVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVE SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791 SC 13G/A 1 SCHEDULE 13G/A AMENDMENT N0. 4 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) SOUTHWEST WATER COMPANY (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 845331-10 (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d.7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities , and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 4 Pages Page 2 of 4 CUSIP NO. 845331-10 - ------------------------------------------------------------------------------ 1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person ANTON C. GARNIER S.S. No. ###-##-#### - ------------------------------------------------------------------------------ 2) Check The Appropriate Box If A Member Of A Group* Not Applicable (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3) SEC use only - ------------------------------------------------------------------------------ 4) Citizenship or Place of Organization CALIFORNIA - ------------------------------------------------------------------------------ 5 Sole Voting Power NUMBER OF 13,942 SHARES ----------------------------------------------------------- 6 Shared Voting Power BENEFICIALLY 247,698 (See Appendix A on Page 4) OWNED BY ----------------------------------------------------------- 7 Sole Dispositive Power REPORTING 13,942 PERSON ----------------------------------------------------------- 8 Shared Dispositive Power WITH 247,698 (See Appendix A on Page 4) - ------------------------------------------------------------------------------ 9) Aggregate Amount Beneficially Owned By Each Reporting Person 261,640 - ------------------------------------------------------------------------------ 10) Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* Not Applicable - ------------------------------------------------------------------------------ 11) Percent Of Class Represented By Amount In Row 9 8.4% - ------------------------------------------------------------------------------ 12) Type Of Reporting Person* IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 4 Item 1(a) Name of Issuer -------------- SOUTHWEST WATER COMPANY Item 1(b) Address of Issuer's Principal Executive Office ---------------------------------------------- 225 North Barranca Avenue, Suite 200, West Covina, California 91791-1605 Item 2(a) Name of Person Filing --------------------- Anton C. Garnier Item 2(b) Address of Principal Business Office, or residence -------------------------------------------------- 225 North Barranca Avenue, Suite 200, West Covina, California 91791-1605 Item 2(c) Citizenship ----------- California Item 2(d) Title of Class of Securities ---------------------------- Common Stock, $.01 par value Item 2(e) CUSIP Number ------------ 845331-10 Item 3 Not Applicable. Item 4 Ownership --------- (a) Amount Beneficially Owned: See Item 9 of the cover pages attached hereto. (b) Percent of Class: See Item 11 of the cover pages attached hereto. (c) See Items 5 through 8 of the cover pages attached hereto. Item 5 Ownership of Five Percent or Less of a Class -------------------------------------------- Not Applicable Item 6 Ownership of More than Five Percent on Behalf of Another Person --------------------------------------------------------------- Not Applicable Item 7 Identification and Classification of the Subsidiary Which Acquired ------------------------------------------------------------------ the Security Being Reported on by the Parent Holding Company ------------------------------------------------------------ Not Applicable Item 8 Identification and Classification of Members of the Group --------------------------------------------------------- Not Applicable. Item 9 Notice of Dissolution of Group ------------------------------ Not Applicable. Item 10 Certification ------------- Not Applicable. SIGNATURE: - ---------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 10, 1997 Anton C. Garnier /s/Anton C. Garnier Page 4 of 4 Appendix A ---------- Mr. Garnier claims ownership of 53,138 shares owned by Mr. & Mrs. Garnier as trustees of a revocable trust for their benefit. As a trustee, Mr. Garnier has shared voting and investment power with respect to these shares. Mr. Garnier is president and a director of two corporations which own a total of 194,560 shares of Southwest Water Company common stock and has shared voting and investment power with respect to these shares. Mr. Garnier indicates that the filing of this Schedule 13G is not an admission that he is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of the 194,560 shares, other than 40,618 shares representing his proportionate interests in the two corporations. -----END PRIVACY-ENHANCED MESSAGE-----