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 Option (right to buy)
|
01/01/2010 |
12/31/2013 |
Common Stock
|
4,317
|
$
21.5
|
D
|
Â
|
Employee Stock Option (right to buy)
|
01/01/2011 |
12/31/2014 |
Common Stock
|
4,712
|
$
21.5
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
12/31/2015 |
Common Stock
|
6,712
|
$
20.7
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
12/31/2016 |
Common Stock
|
15,203
|
$
22.26
|
D
|
Â
|
Performance Stock Unit
|
Â
(6)
|
12/31/2011 |
Common Stock
|
1,202
|
$
(6)
|
D
|
Â
|
Performance Stock Unit
|
Â
(7)
|
12/31/2012 |
Common Stock
|
2,667
|
$
(7)
|
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 1000 shares purchased pursuant to American Water Works Company, Inc.'s Reserved Share Program upon the closing of its initial public offering. |
(2) |
Represents 548 shares, less 204 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. |
(3) |
Represents award of 620 restricted stock units that will vest on January 1, 2011. |
(4) |
The options vest in three equal installments on January 1, 2010, 2011 and 2012. |
(5) |
The options vest in three equal installments on January 1, 2011, 2012 and 2013. |
(6) |
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. |
(7) |
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 shown in column 5 is equal to the target number of performance stock units that may be earned. |