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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Southwest Water (MM) | NASDAQ:SWWC | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 10.99 | 0 | 01:00:00 |
FORM 3
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Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0104 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person * SW Merger Acquisition Corp. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
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3. Issuer Name and Ticker or Trading Symbol SOUTHWEST WATER CO [SWWC] |
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below) _____ Other (specify below) |
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially Owned |
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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 | 2700000 | 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. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Remarks:
On March 2, 2010, SW Merger Acquisition Corp. ("Parent") entered into a binding letter of intent (the "Letter of Intent") with JPMorgan IIF Acquisitions LLC, Water Asset Management, LLC ("WAM") and SouthWest Water Company ("Company"), pursuant to which Parent agreed to purchase 2,700,000 shares of Common Stock from the Company. Parent will receive the shares of Common Stock reported herein upon the consummation of the transactions contemplated by the Letter of Intent on or about March 12, 2010. Parent, WAM, TRF Master Fund (Cayman) LP, Water Investment Advisors (Cayman) Ltd., Matthew J. Diserio, Disque D. Deane Jr., IIF Subway Investment LP and IIF Water Manager LLC may be deemed to be a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934. Parent disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
SW Merger Acquisition Corp.
C/O 245 PARK AVENUE, 2ND FLOOR NEW YORK, NY 10167 |
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X |
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Signatures
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SW Merger Acquisition Corp., by /s/ Dennis Clarke, President | 3/12/2010 | |
** 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). |
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 control number. |
1 Year Southwest Water Chart |
1 Month Southwest Water Chart |
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