# EDGAR Filing Document

**Accession Number:** 0001056903
**File Stem:** 0001209191-23-008185
**Filing Date:** 2023-2
**Character Count:** 6436
**Document Hash:** 956228b01af21385f2a745392327c6e9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-008185.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001209191-23-008185

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230207

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** SPROWLS ROBERT J
- **CENTRAL INDEX KEY:** 0001297166

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-14431
- **FILM NUMBER:** 23608161

**MAIL ADDRESS:**
- **STREET 1:** 630 EAST FOOTHILL BLVD.
- **CITY:** SAN DIMAS
- **STATE:** CA
- **ZIP:** 91773
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AMERICAN STATES WATER CO
- **CENTRAL INDEX KEY:** 0001056903
- **STANDARD INDUSTRIAL CLASSIFICATION:** WATER SUPPLY [4941]
- **IRS NUMBER:** 954676679
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 630 E FOOTHILL BLVD
- **CITY:** SAN DIMAS
- **STATE:** CA
- **ZIP:** 91773-9016
- **BUSINESS PHONE:** 9093943600

**MAIL ADDRESS:**
- **STREET 1:** 630 E FOOTHILL
- **CITY:** SAN DIMAS
- **STATE:** CA
- **ZIP:** 91773-9016

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>SPROWLS ROBERT J<br><sub>(Last) (First) (Middle)</sub><br>630 E FOOTHILL BLVD.<br><sub>(Street)</sub><br>SAN DIMAS, CA 91773<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-07 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President & CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>AMERICAN STATES WATER CO [ AWR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Shares | 2022-06-01 |  | A |  | 36.8023<sup>(1)</sup> | A | $79.39 | 157092.8284 | D |  |
| Commoon Shares | 2022-06-03 |  | A |  | 580.3339<sup>(2)</sup> | A | $0.00 | 157673.1623 | D |  |
| Common Shares | 2022-09-01 |  | A |  | 38.1537<sup>(3)</sup> | A | $83.78 | 157711.316 | D |  |
| Common Shares | 2022-09-06 |  | A |  | 603.7176<sup>(2)</sup> | A | $0.00 | 158315.0336 | D |  |
| Common Shares | 2022-12-01 |  | A |  | 32.5465<sup>(4)</sup> | A | $98.68 | 158347.58 | D |  |
| Common Shares | 2022-12-05 |  | A |  | 516.4333<sup>(2)</sup> | A | $0.00 | 158864.0133 | D |  |
| Common Shares | 2023-02-02 |  | D |  | 2.834<sup>(5)</sup> | D | $0.00 | 158861.1793 | D |  |
| Common Shares | 2023-02-02 |  | A |  | 6.9083<sup>(6)</sup> | A | $0.00 | 487.3078 | I | 401k |
| Common Shares | 2023-02-07 |  | A |  | 4354 | A | $0.00 | 163215.1793 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) DER Units credited on 06/01/2022 as dividend at FMV

(2) Updated DRIP

(3) DER Units credited on 09/01/2022 as dividend at FMV

(4) DER units credited on 12/01/2022 as dividend at FMV

(5) Adjustment due to partial share

(6) Updated 401k Information

**Signature:** /s/ Robert J. Sprowls  
**Date:** 2023-02-09

### Remarks:

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.**