American Water Works (AWK) Form 3 American Water Works / Maureen Duffy ownership change

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Duffy Maureen

(Last) (First) (Middle)

1 WATER STREET

(Street)

CAMDEN NJ 08102-1658

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/01/2020

3. Issuer Name and Ticker or Trading Symbol
American Water Works Company, Inc. [ AWK ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP, Commuications&ExtAffairs

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	16,947(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	(2)	12/31/2020	Common Stock	4,659	44.06	D
Employee Stock Option (right to buy)	(3)	12/31/2021	Common Stock	4,136	52.75	D
Employee Stock Option (right to buy)	(4)	12/31/2022	Common Stock	4,014	65.15	D

Explanation of Responses:

1. Includes 982 shares underlying unvested restricted stock unit awards issued under the American Water Works Company, Inc. (the "Company") 2017 Omnibus Equity Compensation Plan, which settle solely in shares of the Company's common stock on a one share per unit basis. Each restricted stock unit award vests in three equal installments on the first, second and third anniversaries of the date of grant.

2. This option vested in three equal installments on January 1, 2015, 2016 and 2017.

3. This option vested in three equal installments on January 1, 2016, 2017 and 2018.

4. This option vested in three equal installments on January 1, 2017, 2018 and 2019.

Remarks:

	/s/ Jeffrey M. Taylor, as attorney-in-fact for Maureen Duffy	06/10/2020
	** Signature of Reporting Person	Date
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 5 (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).
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