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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock | $ 14 | 02/07/2007 | M | 10,618 | 04/29/2004(8) | 04/29/2013 | Common Stock | 10,618 | (9) | 24,106 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROTH W RICHARD 374 W. SANTA CLARA STREET SAN JOSE, CA 95113 |
X | President & CEO |
/s/ Suzy Papazian Attorney-in-Fact for W. Richard Roth | 02/08/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes 2,249 shares of Common Stock of SJW Corp. (the "Company") and 10,618 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,112 shares of deferred restricted stock. These shares may be subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at the time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(2) | Includes 2,249 shares of Common Stock of the Company and 10,118 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,112 shares of deferred restricted stock. These shares may be subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at the time of vesting or at a specified time thereafter (including termination of service with the Company). |
(3) | Includes 2,249 shares of Common Stock of the Company and 7,718 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,112 shares of deferred restricted stock. These shares may be subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at the time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(4) | Includes 2,249 shares of Common Stock of the Company and 7,618 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,112 shares of deferred restricted stock. These shares may be subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at the time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(5) | Includes 2,249 shares of Common Stock of the Company and 7,518 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,112 shares of deferred restricted stock. These shares may be subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at the time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(6) | Includes 2,249 shares of Common Stock of the Company and 7,218 shares of Common Stock of the Company issued to Mr. Roth following the exercise of his stock options. Also includes 31,500 shares underlying restricted stock units and 100,112 shares of deferred restricted stock. These shares may be subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at the time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(7) | Includes 2,249 shares of Common Stock of the Company. Also includes 31,500 shares underlying restricted stock units and 100,112 shares of deferred restricted stock. These shares may be subject in whole or in part to vesting schedules tied to Mr. Roth?s continued service with the Company or his performance and will be distributed as actual shares of Common Stock of the Company either at the time of vesting or at a specified time thereafter (including termination of service with the issuer). |
(8) | The stock options are exercisable according to the vesting schedule. The shares vest in four successive equal annual installments upon Mr. Roth?s completion of each year of service with the Company over a four-year period measured from the April 29, 2003 issue date of the stock options. Therefore 11,406 shares of Common Stock of the Company became exercisable on April 29, 2004, April 29, 2005 and April 29, 2006 and the remaining 11,406 shares will become exercisable on April 29, 2007. |
(9) | The exercise price is $14.00 per share. |