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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 |
CUSIP
No. 845331107
|
1.
|
NAMES OF REPORTING PERSONS......MMI Investments, L.P.
|
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
x
(b)
o
|
3.
|
SEC USE ONLY
|
|
4.
|
SOURCE OF FUNDS
|
WC
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
|
o
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
Delaware
|
NUMBER OF
SHARES
|
7. SOLE VOTING POWER
|
1,250,000
|
BENEFICIALLY
OWNED BY
|
8. SHARED VOTING POWER
|
-
0 -
|
EACH
REPORTING
|
9. SOLE DISPOSITIVE POWER
|
1,250,000
|
PERSON
WITH
|
10. SHARED DISPOSITIVE POWER
|
-
0 -
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
|
1,250,000
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
o
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
5.0%
|
14.
|
TYPE OF REPORTING PERSON
|
PN
|
CUSIP
No. 845331107
|
1.
|
NAMES OF REPORTING PERSONS....MCM Capital Management,
LLC
|
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
x
(b)
o
|
3.
|
SEC USE ONLY
|
|
4.
|
SOURCE OF FUNDS
|
AF
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
|
o
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
Delaware
|
NUMBER OF
SHARES
|
7. SOLE VOTING POWER
|
1,250,000
|
BENEFICIALLY
OWNED BY
|
8. SHARED VOTING POWER
|
-
0 -
|
EACH
REPORTING
|
9. SOLE DISPOSITIVE POWER
|
1,250,000
|
PERSON
WITH
|
10. SHARED DISPOSITIVE POWER
|
-
0 -
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
|
1,250,000
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
o
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
5.0%
|
14.
|
TYPE OF REPORTING PERSON
|
OO
|
CUSIP
No. 845331107
|
1.
|
NAMES OF REPORTING PERSONS......Clay B. Lifflander
|
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
x
(b)
o
|
3.
|
SEC USE ONLY
|
|
4.
|
SOURCE OF FUNDS
|
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
|
o
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
USA
|
NUMBER OF
SHARES
|
7. SOLE VOTING POWER
|
- 0 -*
|
BENEFICIALLY
OWNED BY
|
8. SHARED VOTING POWER
|
-
0 -
|
EACH
REPORTING
|
9. SOLE DISPOSITIVE POWER
|
- 0 -*
|
PERSON
WITH
|
10. SHARED DISPOSITIVE POWER
|
-
0 -
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
|
- 0 -*
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
o
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
0%*
|
14.
|
TYPE OF REPORTING PERSON
|
IN
|
* See Item 5.
|
CUSIP
No. 845331107
|
Item
1.
|
Security and
Issuer
|
Item
2.
|
Identity and
Background
|
Item
3.
|
Source and Amount of
Funds or Other Consideration
|
CUSIP
No. 845331107
|
Item
4.
|
Purpose of
Transaction
|
CUSIP
No. 845331107
|
Item
5.
|
Interest
in Securities of
the Issuer
|
CUSIP
No. 845331107
|
Item
6.
|
Contracts,
Arrangements, Understandings or Relationships With Respect to Securities
of the Issuer
|
Item
7.
|
Material to be Filed
as Exhibits
|
|
99.1
|
Joint
Filing Agreement by and among MMI Investments, L.P., MCM Capital
Management, LLC and Clay B. Lifflander,
dated February 22, 2010.
|
CUSIP
No. 845331107
|
MMI
INVESTMENTS, L.P.
|
||
By:
|
MCM
Capital Management, LLC
General
Partner
|
|
By:
|
/s/ JEROME J. LANDE | |
Jerome
J. Lande
|
||
Executive
Vice President
|
MCM
CAPITAL MANAGEMENT, LLC
|
||
By:
|
/s/ JEROME J. LANDE | |
Jerome
J. Lande
|
||
Executive
Vice President
|
/s/ CLAY B. LIFFLANDER | |
Clay
B. Lifflander
|
CUSIP
No. 845331107
|
Name and Business Address
|
Position and Principal
Occupation
|
John
S. Dyson
1370
Avenue of the Americas
New
York, New York 10019
|
Voting
Member and Chairman of MCM;
Voting
Member and Chairman of Millcap Advisors, LLC ("Millcap"), a Delaware
limited liability company
1370 Avenue of the Americas,
New York, New York 10019
|
Clay
B. Lifflander
1370
Avenue of the Americas
New
York, New York 10019
|
Voting
Member and President of MCM;
Voting
Member and President of Millcap
|
CUSIP
No. 845331107
|
Shares
of Common Stock
Purchased / (Sold)
|
Price
Per
Share($)
|
Date
of
Purchase / Sale
|
MMI Investments, L.P.
|
||
20,000
|
6.13
|
1/15/2010
|
5,000
|
6.26
|
1/19/2010 |
17,000
|
6.17
|
1/20/2010
|
20,000
|
6.15
|
1/21/2010
|
14,100 |
6.09
|
1/22/2010
|
20,000
|
6.09
|
1/25/2010
|
20,000
|
6.07
|
1/26/2010
|
150,000
|
5.80
|
1/27/2010
|
15,000
|
6.05
|
1/28/2010
|
10,000
|
6.13
|
1/29/2010
|
20,000
|
6.12
|
2/1/2010
|
30,000
|
6.04
|
2/2/2010
|
60,000
|
6.03
|
2/3/2010
|
30,000
|
5.94
|
2/4/2010
|
58,600
|
5.89
|
2/5/2010
|
50,000
|
6.03
|
2/8/2010
|
81,700 | 6.24 | 2/9/2010 |
40,000 | 6.39 | 2/10/2010 |
40,000 | 6.70 | 2/11/2010 |
27,000 | 7.05 | 2/12/2010 |
1 Year Southwest Water Chart |
1 Month Southwest Water Chart |
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