This excerpt taken from the SWWC DEF 14A filed Apr 9, 2007.
Our Directors, executive officers and owners of more than 10 percent of our securities are required under Section 16(a) of the Exchange Act of, to file reports of ownership and changes in ownership with the SEC. To facilitate compliance, we prepare and file these reports on behalf of our Directors and executive officers. Southwest Water is required to disclose in this Proxy Statement any late filings or failures to file.
Based upon a review of the filings made on their behalf during 2006, as well as an examination of the SECs EDGAR system Form 3, 4, and 5 filings and the Companys records, the following table sets forth exceptions to timely filings: