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  4. [Form 4] AMERICAN STATES WATER CO Insider Trading Activity

American States Water (NYSE: AWR) director increases stake with open-market buys

Filing Impact
(Neutral)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

AMERICAN STATES WATER CO director Anne M. Holloway reported open-market purchases of the company’s common shares and a small technical adjustment. She bought 526.8704 shares at $75.92 per share on May 19, 2026, 134.8087 shares at $75.92 on May 18, 2026, 138.2990 shares at $73.50 on February 23, 2026, and 135.3633 shares at $74.59 on November 14, 2025, all recorded as open-market purchases. A separate 0.3341-share disposition on November 14, 2025 was labeled a disposition to the issuer and is footnoted as an adjustment due to partial shares. After these transactions, her directly held position is 40,079.8984 common shares.

Positive

  • None.

Negative

  • None.
Insider HOLLOWAY ANNE M
Role null
Bought 935.341 shs ($70K)
Type Security Shares Price Value
Purchase Common Shares 526.87 $75.92 $40K
Purchase Common Shares 134.809 $75.92 $10K
Purchase Common Shares 138.299 $73.50 $10K
Disposition Common Shares 0.334 $0.00 --
Purchase Common Shares 135.363 $74.59 $10K
Holdings After Transaction: Common Shares — 40,079.898 shares (Direct, null)
Footnotes (1)
  1. Adjustment due to partial shares Der units credited on 11/14/2025 at FMV Der units credited on 02/23/2026 at FMV Der units credited on 05/18/2026 at FMV
Largest single purchase 526.8704 shares at $75.92 Open-market purchase on May 19, 2026
Additional May 18 purchase 134.8087 shares at $75.92 Open-market purchase on May 18, 2026
February purchase 138.2990 shares at $73.50 Open-market purchase on February 23, 2026
November purchase 135.3633 shares at $74.59 Open-market purchase on November 14, 2025
Net shares bought 935.3414 shares Net buy volume across reported transactions
Shares after transactions 40,079.8984 shares Total direct holdings following latest purchase
Partial-share adjustment 0.3341 shares at $0.00 Disposition to issuer on November 14, 2025
open-market purchase financial
"transaction_action: "open-market purchase""
An open-market purchase is when an investor or a company buys shares on a public stock exchange at the going market price, rather than through a private deal. It matters to investors because these purchases change how many shares are available, can push the stock price up or signal confidence from large buyers, and often affect per-share metrics like earnings—think of it like someone buying lots of apples off a grocery shelf, reducing supply and potentially raising the price.
Disposition to issuer financial
"transaction_action: "issuer disposition" and code description "Disposition to issuer""
derivative units financial
"Footnotes reference "Der units credited" at fair market value"
fair market value financial
"Footnotes state "Der units credited ... at FMV""
The price a willing buyer and a willing seller would agree on for an asset or security when neither is under pressure and both have access to the same information. Think of it as the market’s neutral estimate of what something is worth, like the price two neighbors would settle on for a car after comparing similar listings. Investors care because fair market value guides buying and selling decisions, tax reporting, portfolio valuation, and how accurately company assets are reflected in financial statements.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
HOLLOWAY ANNE 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)
XDirector10% 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)
XForm 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)
CodeVAmount(A) or (D)Price
Common Shares11/14/2025D0.3341(1)D$039,144.5569D
Common Shares11/14/2025P135.3633(2)A$74.5939,279.9203D
Common Shares02/23/2026P138.299(3)A$73.539,418.2192D
Common Shares05/18/2026P134.8087(4)A$75.9239,553.028D
Common Shares05/19/2026P526.8704A$75.9240,079.8984D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Adjustment due to partial shares
2. Der units credited on 11/14/2025 at FMV
3. Der units credited on 02/23/2026 at FMV
4. Der units credited on 05/18/2026 at FMV
/s/ Anne M Holloway05/19/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did AWR director Anne M. Holloway report?

Anne M. Holloway reported several open-market purchases of AMERICAN STATES WATER CO common shares plus a very small disposition to the issuer. These transactions gradually increased her directly held stake over late 2025 and early 2026, according to the Form 4 data.

How many AWR shares did Anne M. Holloway buy and at what prices?

She bought 526.8704 and 134.8087 common shares at $75.92, 138.2990 shares at $73.50, and 135.3633 shares at $74.59. All are classified as open-market purchases, meaning she actively bought shares rather than receiving them as grants or awards.

What is Anne M. Holloway’s AWR shareholding after these transactions?

After the reported transactions, Anne M. Holloway directly owns 40,079.8984 AMERICAN STATES WATER CO common shares. This figure reflects the cumulative effect of her open-market purchases and the small partial-share adjustment disposition recorded on November 14, 2025.

What is the small AWR share disposition reported on November 14, 2025?

The Form 4 shows a 0.3341-share disposition labeled as a disposition to the issuer on November 14, 2025 at a price of $0.00. A footnote explains this as an adjustment due to partial shares, indicating an administrative correction rather than a standard market sale.

Are there any derivative securities involved in this AWR Form 4 filing?

The derivative summary is empty, meaning no derivative securities transactions remain visible in this particular Form 4. Footnotes mention derivative units credited at fair market value on certain dates, but no separate derivative positions or exercises are listed in the summarized data.

Over what period did Anne M. Holloway make these AWR share purchases?

The open-market purchases occurred on November 14, 2025, February 23, 2026, May 18, 2026, and May 19, 2026. The pattern shows a series of relatively small transactions spread over several months rather than a single large one-time trade.