SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE for Southwest_Water

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SWWC » Topics » SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

This excerpt taken from the SWWC DEF 14A filed Apr 9, 2007.

SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

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 SEC’s EDGAR system Form 3, 4, and 5 filings and the Company’s records, the following table sets forth exceptions to timely filings:

	Name		Transactions Reported
	Cheryl L. Clary		Form 4 was filed reporting her 3/7/06 Grant of 20,000 options on 3/20/06.
	Shelley A. Farnham		Form 4 was filed reporting her 3/7/06 Grant of 6,000 options on 3/14/06.
	Anton C. Garnier		Form 4 was filed reporting his 12/15/06 sale of 1,000 shares on 12/18/06.
	Stephen C. Held		Form 5 was filed 1/8/07 reporting his Grant of 10,000 options on 4/1/06.
	Donovan D. Huennekens		Form 4 was filed reporting his 4/20/06 Purchase of 299 shares on 10/24/06. Form 4 was filed reporting his 5/19/06 Purchase of 83 shares on 5/23/06. Form 4 was filed reporting his 7/20/06 Purchase of 394 shares on 10/24/06. Form 4 was filed reporting his 8/21/06 Purchase of 78 shares on 8/24/06. Form 4 was filed reporting his 9/20/06 Purchase of 81 shares on 9/29/06. Form 4 was filed reporting his 11/20/06 Purchase of 78 shares on 12/21/06.
	James E. Mann		Form 4 was filed reporting his 3/7/06 Grant of 8,000 options on 3/14/06.
	Peter J. Moerbeek		Form 4 was filed reporting his 3/7/06 Grant of 50,000 options on 3/14/06. Form 4 was filed reporting his 10/19/06 Exercise of 259 options on 10/24/06. Form 4 was filed reporting his 11/16/06 Exercise of 52,199 options on 11/22/06.
	Michael O. Quinn		Form 4 was filed reporting his 3/7/06 Grant of 25,000 options on 3/14/06.
	Mark A. Swatek		Form 5 was filed reporting his 11/20/06 Purchase of 390 shares on 1/12/07.

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Southwest Water Company (SWWC)

SWWC » Topics » SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

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