<SEC-DOCUMENT>0001157523-14-004855.txt : 20141222
<SEC-HEADER>0001157523-14-004855.hdr.sgml : 20141222
<ACCEPTANCE-DATETIME>20141222080045
ACCESSION NUMBER:		0001157523-14-004855
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20141217
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20141222
DATE AS OF CHANGE:		20141222

FILER:

	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

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-14431
		FILM NUMBER:		141301605

	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
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>a51007781.htm
<DESCRIPTION>AMERICAN STATES WATER COMPANY 8-K
<TEXT>
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      <br>
      <font style="font-family: Times New Roman; font-size: 12pt"><b>UNITED
      STATES</b></font><b><font style="font-family: Times New Roman; font-size: 12pt"><br style="font-size: 12pt; font-family: Times New Roman"></font><font style="font-family: Times New Roman; font-size: 12pt">SECURITIES
      AND EXCHANGE COMMISSION</font></b><font style="font-size: 12pt"><br style="font-size: 12pt"></font><font style="font-family: Times New Roman; font-size: 12pt"><b>Washington,
      D.C. 20549</b></font><br><br><br><font style="font-size: 16pt"><b>Form
      8-K</b></font><font style="font-size: 12pt"><br style="font-size: 12pt"></font><font style="font-size: 12pt"><b>CURRENT
      REPORT</b></font><br><br><font style="font-size: 10pt"><b>Pursuant to
      Section 13 or 15(d) of the Securities Exchange Act of 1934</b></font><br><br><font style="font-family: Times New Roman; font-size: 10pt"><b>Date
      of Report (Date of earliest event reported)</b></font><font style="font-family: Times New Roman; font-size: 10pt">
      </font><font style="font-family: Times New Roman; font-size: 10pt"><b>December
      17, 2014</b></font><font style="font-family: Times New Roman; font-size: 10pt"><br style="font-size: 10pt; font-family: Times New Roman"></font><br><br><font style="font-size: 14pt"><b>AMERICAN
      STATES WATER COMPANY</b></font><font style="font-size: 12pt"><br style="font-size: 12pt"></font><font style="font-size: 10pt"><b>(Exact
      name of registrant as specified in its charter)</b></font><br><br>
    </p>
<div style="text-align:left">
    <table style="font-size: 10pt; margin-bottom: 10.0px; width: 100%; font-family: Times New Roman" cellspacing="0">
      <tr>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="bottom">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>California</b>
          </p>
        </td>
        <td style="text-align: center; white-space: nowrap; width: 34%; padding-right: 0.0px; padding-left: 0.0px" valign="bottom">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>001-14431</b>
          </p>
        </td>
        <td style="text-align: center; white-space: nowrap; width: 33%; padding-right: 0.0px; padding-left: 0.0px" valign="bottom">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>95-4676679</b>
          </p>
        </td>
      </tr>
      <tr>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            (State or other jurisdiction of
          </p>
          <p style="margin-bottom: 0px; margin-top: 0px">
            incorporation or organization)
          </p>
        </td>
        <td style="text-align: center; width: 34%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            (Commission File Number)
          </p>
        </td>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="bottom">
          <p style="margin-bottom: 0px; margin-top: 0px">
            (I.R.S. Employer Identification
          </p>
          <p style="margin-bottom: 0px; margin-top: 0px">
            No.)
          </p>
          <p style="margin-bottom: 0px; margin-top: 0px">
            &#160;
          </p>
        </td>
      </tr>
    </table>
    </div>
<div style="text-align:left">
    <table style="font-size: 10pt; margin-bottom: 10.0px; width: 100%; font-family: Times New Roman" cellspacing="0">
      <tr>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>630 East Foothill Blvd.</b>
          </p>
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>San Dimas, California</b>
          </p>
        </td>
        <td style="text-align: left; width: 34%; padding-left: 0.0px" valign="top">
          &#160;
        </td>
        <td style="text-align: center; white-space: nowrap; width: 33%; padding-right: 0.0px; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            &#160;
          </p>
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>91773</b>
          </p>
        </td>
      </tr>
      <tr>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="bottom">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <font style="font-family: Times New Roman; font-size: 10pt">(Address
            of principal executive </font>
          </p>
          <p style="margin-bottom: 0px; margin-top: 0px">
            <font style="font-family: Times New Roman; font-size: 10pt">offices)</font>
          </p>
          <p style="margin-bottom: 0px; margin-top: 0px">
            &#160;
          </p>
        </td>
        <td style="width: 34%">

        </td>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="top">
          <font style="font-family: Times New Roman; font-size: 10pt">(Zip
          Code)</font>
        </td>
      </tr>
    </table>
    </div>
    <p style="text-align: center">
      <b>Registrant&#8217;s telephone number, including area code: (909) 394-3600</b>
    </p>
    <hr style="height: 1.0 pt; color: #000000; text-align: center; width: 100%">


    <p style="text-align: justify">

    </p>
    <p style="text-align: justify">
      <b>Check the appropriate box below if the Form 8-K filing is intended to
      simultaneously satisfy the filing obligation of the registrant under any
      of the following provisions (<i>see</i> General Instruction A.2 below):</b>
    </p>
    <p style="text-align: justify">
      <font style="font-family: Arial Unicode MS; font-size: 12pt">&#8414;</font><b>
      Written communications pursuant to Rule 425 under the Securities Act (17
      CFR 230.425)</b><br><font style="font-family: Arial Unicode MS; font-size: 12pt">&#8414;</font><b>
      Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
      CFR 14a-12)</b><br><font style="font-family: Arial Unicode MS; font-size: 12pt">&#8414;</font><font style="font-size: 12pt">
      </font><b>Pre-commencement communications pursuant to Rule 14d-2(b)
      under the Exchange Act (17 CFR 240.14d-2(b))</b><br><font style="font-family: Arial Unicode MS; font-size: 12pt">&#8414;</font><font style="font-size: 12pt">
      </font><b>Pre-commencement communications pursuant to Rule 13e-4(c)
      under the Exchange Act (17 CFR 240.13e-4(c)) </b>
    </p>
    <p>

    </p>
    <div style="text-indent: 0pt; margin-bottom: 10pt; width: 100%; margin-right: 0pt; margin-left: 0pt">
      <div>
        <div style="text-align: left">

        </div>
      </div>
      <div style="page-break-after: always">
        <div style="text-align: center">

        </div>
        <div style="text-align: center">
          <hr style="height: 1.5pt; color: black">

        </div>
      </div>
      <div>
        <div style="text-align: right">

        </div>
      </div>
    </div>
    <p style="text-align: center">
      <b>Section 5 - Corporate Governance and Management</b>
    </p>
<div style="text-align:left">
    <table style="font-size: 10pt; margin-bottom: 10.0px; width: 100%; font-family: Times New Roman" cellspacing="0">
      <tr>
        <td style="text-align: left; width: 10%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>Item 5.02.</b>
          </p>
        </td>
        <td style="text-align: left; width: 90%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>Departure of Directors or Certain Officers; Election of
            Directors; Appointment of Certain Officers; Compensatory
            Arrangements of Certain Officers.</b>
          </p>
        </td>
      </tr>
    </table>
    </div>
    <p style="text-indent: 30.0px; text-align: justify">
      On December 17, 2014 the Board of Directors of American States Utility
      Services, Inc. (&#8220;ASUS&#8221;) promoted James C. Cotton to Senior Vice
      President and Procurement Officer of ASUS effective December 18,
      2014.&#160;&#160;ASUS is a wholly-owned subsidiary of American States Water
      Company (&#8220;AWR&#8221; or &#8220;the Company&#8221;).&#160;&#160;The Board of Directors of ASUS has
      delegated to Mr. Cotton many of the duties of Mr. McClellan Harris who
      retired as Senior Vice President and Assistant Secretary of ASUS on
      November 21, 2014.&#160;&#160;
    </p>
    <p style="text-indent: 30.0px; text-align: justify">
      Mr. Cotton has served as Vice President of Contracts for ASUS since
      November 2012.&#160;&#160;Mr.&#160;Cotton joined ASUS in June 2008 as Director of
      Contracts.&#160;&#160;He is 41 years old.
    </p>
    <p style="text-indent: 30.0px; text-align: justify">
      In his new position, Mr. Cotton&#8217;s base salary will be increased to
      $260,000 per year.&#160;&#160;He will also be entitled to an increase in the
      target value of his long-term incentive compensation to be awarded in
      2015.&#160;&#160;The target value will be increased to $120,000 with the number of
      shares and the conditions attached to such awards to be determined at
      the time that awards are made to all executive officers of AWR and its
      subsidiaries in 2015 pursuant to AWR&#8217;s 2008 Stock Incentive Plan. In
      addition, Mr. Cotton will be entitled to an increase in the target value
      of the short-term incentive compensation to be awarded for 2015.&#160;&#160;The
      target value will be increased to 35 percent of Mr. Cotton&#8217;s new base
      salary, or $91,000 based on his $260,000 base salary, with the
      conditions attached to the award to be determined at the time that
      awards are made to all executive officers of AWR and its subsidiaries
      for 2015 pursuant to the AWR Performance Incentive Plan. &#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;
    </p>
    <p style="text-indent: 30.0px; text-align: justify">
      There is no arrangement or understanding between Mr. Cotton and any
      other person pursuant to which he was appointed as Senior Vice President
      and Procurement Officer of ASUS. There is no family relationship between
      Mr. Cotton and any other executive officer, employee or director of the
      Company or any of its subsidiaries.&#160;&#160;There has been no transaction since
      January&#160;1, 2014, or any currently proposed transaction, involving the
      Company or any of its subsidiaries in which Mr.&#160;Cotton has a material
      interest or any other business relationship or transaction between the
      Company or any of its subsidiaries and Mr. Cotton involving an amount
      exceeding $120,000.&#160;&#160;
    </p>
    <p style="text-indent: 30.0px; font-size: 10pt">
      A copy of the Company&#8217;s press release is attached hereto as Exhibit
      99.1.&#160;&#160; This Form 8-K and the attached exhibit are furnished to, but not
      filed with, the Securities and Exchange Commission.
    </p>
    <p style="text-align: center">
      <b>Section 9 - Financial Statements and Exhibits</b>
    </p>
<div style="text-align:left">
    <table style="font-size: 10pt; margin-bottom: 10.0px; width: 100%; font-family: Times New Roman" cellspacing="0">
      <tr>
        <td style="text-align: left; width: 10%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>Item 9.01.</b>
          </p>
        </td>
        <td style="text-align: left; width: 90%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>Financial Statements and Exhibits.</b>
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 10%">

        </td>
        <td style="width: 90%">
          &#160;
        </td>
      </tr>
      <tr>
        <td style="text-align: left; width: 10%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            Exhibit 99.1
          </p>
        </td>
        <td style="text-align: left; width: 90%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            Press Release dated December 22, 2014 in which American States
            Water Company Announces Promotion of James C. Cotton to Senior
            Vice President of ASUS
          </p>
        </td>
      </tr>
    </table>
    </div>
    <p style="text-align: center">

    </p>
    <div style="text-indent: 0pt; margin-bottom: 10pt; width: 100%; margin-right: 0pt; margin-left: 0pt">
      <div>
        <div style="text-align: left">

        </div>
      </div>
      <div style="page-break-after: always">
        <div style="text-align: center">

        </div>
        <div style="text-align: center">
          <hr style="height: 1.5pt; color: black">

        </div>
      </div>
      <div>
        <div style="text-align: right">

        </div>
      </div>
    </div>
    <p>

    </p>
    <p style="text-align: center">
      <font style="font-family: Times New Roman; font-size: 10pt"><b>SIGNATURES</b></font>
    </p>
    <p style="text-indent: 30.0px; text-align: left">
      <font style="font-family: Times New Roman; font-size: 10pt">Pursuant to
      the requirements of the Securities Exchange Act of 1934, the registrant
      has duly caused this report to be signed on its behalf by the
      undersigned hereunto duly authorized.</font>
    </p>
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        </td>
        <td style="width: 45%">

        </td>
        <td style="text-align: center; width: 50%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            <b>AMERICAN STATES WATER COMPANY</b>
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 5%">

        </td>
        <td style="width: 45%">

        </td>
        <td style="text-align: left; width: 50%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            &#160;
          </p>
        </td>
      </tr>
      <tr>
        <td style="text-align: left; width: 5%; padding-bottom: 2.0px; padding-left: 0.0px" valign="top">
          Date:
        </td>
        <td style="text-align: left; width: 45%; padding-bottom: 2.0px; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            December 22, 2014
          </p>
        </td>
        <td style="text-align: center; width: 50%; padding-left: 0.0px; border-bottom: solid black 1.0pt" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            /s/ Eva G. Tang
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 5%">

        </td>
        <td style="width: 45%">

        </td>
        <td style="text-align: center; width: 50%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            Eva G. Tang
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 5%">

        </td>
        <td style="width: 45%">

        </td>
        <td style="text-align: center; width: 50%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            Senior Vice President &#8211; Finance, Chief Financial
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 5%">

        </td>
        <td style="width: 45%">

        </td>
        <td style="text-align: center; width: 50%; padding-left: 0.0px" valign="top">
          <p style="margin-bottom: 0px; margin-top: 0px">
            Officer, Treasurer&#160;&#160;&amp; Corporate Secretary
          </p>
        </td>
      </tr>
    </table>
    </div>
    <p>

    </p>
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<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>a51007781ex99_1.htm
<DESCRIPTION>EXHIBIT 99.1
<TEXT>
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    <p style="text-align: right">
      <b>Exhibit 99.1</b>
    </p>
    <p style="text-align: center">
      <font style="font-family: Times New Roman; font-size: 12pt"><b>American
      States Water Company Announces Promotion of James C. Cotton to Senior
      Vice President of ASUS</b></font>
    </p>
    <p>
      SAN DIMAS, Calif.--(BUSINESS WIRE)--December 22, 2014--American States
      Water Company (NYSE:AWR) announces the promotion of James C. Cotton to
      Senior Vice President and Procurement Officer of American States Utility
      Services, Inc. (&#8220;ASUS&#8221;) effective December&#160;18,&#160;2014. ASUS is a
      wholly-owned subsidiary of AWR providing operations, maintenance and
      construction management services for water and wastewater systems
      located on military bases throughout the country through 50-year
      privatization contracts with the U.S. government. The Board of Directors
      of ASUS has delegated to Mr. Cotton the duties of Mr.&#160;McClellan Harris
      who retired as Senior Vice President and Assistant Secretary of ASUS on
      November 21, 2014.
    </p>
    <p>
      Mr. Cotton joined ASUS in June 2008 as Director of Contracts. He was
      promoted to Vice President of Contracts in November 2012. Prior to
      joining ASUS, he had a 15 year career with the U.S. Department of
      Defense including service as (i) Deputy Commander, Defense Energy
      Support Center &#8211; Europe (Europe, Africa, Northern Iraq) in direct
      support of Iraqi Operations and the Global War on Terror, (ii) Deputy
      Director of Bulk Supplier Operations, Petroleum and Energy (U.S.,
      Europe, Middle East and Africa), (iii) Director of Iraqi Operations
      (Baghdad) in direct support of Operation Iraqi Freedom, and (iv)
      Director of Utilities Privatization.
    </p>
    <p>
      Commenting on the announcement, Robert J. Sprowls, President and Chief
      Executive Officer of both AWR and ASUS, said, &#8220;We are pleased to have
      Jim assume this key role at ASUS and help us continue to grow the
      contracted services business. He has many years of valuable experience
      in the business along with highly-relevant experience with the U.S.
      Department of Defense. I am confident that he will be very effective as
      our new Senior Vice President at ASUS and continue our commitment to
      serve our troops through operating, maintaining and constructing water
      and wastewater systems on military bases throughout the country.&#8221;
    </p>
    <p>
      American States Water Company is the parent of Golden State Water
      Company and American States Utility Services, Inc. Through its utility
      subsidiary, Golden State Water Company, AWR provides water service to
      approximately 257,000 customers located within 75 communities throughout
      10 counties in Northern, Coastal and Southern California. The Company
      also distributes electricity to approximately 24,000 customers in the
      City of Big Bear and surrounding areas in San Bernardino County,
      California. Through its contracted services subsidiary, American States
      Utility Services, Inc., the Company provides operations, maintenance and
      construction management services for water and wastewater systems
      located on military bases throughout the country through 50-year
      privatization contracts with the U.S. government.
    </p>
    <p>
      CONTACT:<br>American States Water Company<br>Eva G. Tang<br>Senior Vice
      President, Chief Financial Officer,<br>Treasurer and Corporate Secretary<br>(909)
      394-3600, extension 707
    </p>
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