Statement of Changes in Beneficial Ownership (4)
September 02 2020 - 6:53PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
WESTBROOK MAUREEN P |
2. Issuer Name and Ticker or Trading Symbol
SJW GROUP
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SJW
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President of CTWS |
(Last)
(First)
(Middle)
110 W. TAYLOR STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/1/2020 |
(Street)
SAN JOSE, CA 95110
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/1/2020 | | A | | 124 (1) | A | $0 | 43688 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Represents 124 shares subject to deferred stock units ("DSU") granted to the Reporting Person pursuant to dividend equivalent rights accrued on outstanding DSUs granted by Connecticut Water Service, Inc., awholly owned subsidiary of the Issuer. Dividend equivalent rights accrue when and as dividends are paid on the common stock underlying the awards and will be settled in accordance with the terms as the DSUs to which they relate. |
(2) | Represents (i) 509 shares of the issuer's common stock, (ii) 19,209 shares subject to RSUs that will vest in three annual successive installments upon the completion of each year of the reporting person's service with the issuer for the three-year period measured from the date of grant, subject to accelerated vesting under certain prescribed circumstances, and (iii) 23,970 shares subject to DSUs that are vested and will be settled in accordance with an election previously made by the reporting person. Each RSU and DSU will entitle the reporting person to one share of common stock upon settlement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WESTBROOK MAUREEN P 110 W. TAYLOR STREET SAN JOSE, CA 95110 |
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| President of CTWS |
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Signatures
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/s/ Willie Brown, Attorney-in-Fact for Maureen P. Westbrook | | 9/2/2020 |
**Signature of Reporting Person | Date |
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