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AMER STATES WTR CO
AMER STATES WTR CO. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 209 Institutional holders with a total value of $976,872,213.
#
Manager Name
Shares
Value ($)
%
Options
Notes
151 Cubist Systematic Strategies, LLC 5,297 222,000 0.02%
152 DEERE & CO 5,237 220,000 0.02%
153 Cetera Advisor Networks LLC 5,240 219,000 0.02%
154 KELLY LAWRENCE W & ASSOCIATES INC/CA 5,080 213,000 0.02%
155 GW HENSSLER & ASSOCIATES LTD 5,075 213,000 0.02%
156 A.R.T. Advisors, LLC 5,044 211,000 0.02%
157 GOFEN & GLOSSBERG LLC /IL/ 5,000 210,000 0.02%
158 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,975 209,000 0.02%
159 PineBridge Investments, L.P. 4,929 207,000 0.02%
160 PEAK6 Group LLC 3,700 155,000 0.02% Call
161 CANADA LIFE ASSURANCE Co 3,623 152,000 0.02%
162 FIRST QUADRANT LLC/CA 3,500 147,000 0.02%
163 NORDEA INVESTMENT MANAGEMENT AB 2,974 125,000 0.01%
164 HARFST & ASSOCIATES, INC. 2,509 105,000 0.01%
165 SeaBridge Investment Advisors LLC 2,400 101,000 0.01%
166 Avior Wealth Management, LLC 2,200 92,000 0.01%
167 FIRST MANHATTAN CO. LLC. 2,200 92,000 0.01%
168 HOERTKORN RICHARD CHARLES 2,170 91,000 0.01%
169 IFP ADVISORS, INC 2,149 90,000 0.01%
170 D.A. DAVIDSON & CO. 2,100 88,000 0.01%
171 MSI Financial Services Inc 2,075 87,000 0.01%
172 TRUST CO OF VERMONT 2,000 84,000 0.01%
173 PICTON MAHONEY ASSET MANAGEMENT 1,900 80,000 0.01% SH
174 SEI INVESTMENTS CO 1,705 72,000 0.01%
175 PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 1,684 71,000 0.01%
176 NEXT Financial Group, Inc 1,600 67,000 0.01%
177 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 1,480 62,000 0.01%
178 ENVESTNET ASSET MANAGEMENT INC 1,439 60,000 0.01%
179 Winslow, Evans & Crocker, Inc. 1,400 58,730 0.01%
180 VAN ECK ASSOCIATES CORP 1,241 52,000 0.01%
181 LS Investment Advisors, LLC 1,216 51,000 0.01%
182 CITY HOLDING CO 1,200 50,000 0.01%
183 VERSANT CAPITAL MANAGEMENT, INC 1,147 48,000 0.00%
184 Creative Planning 1,032 43,000 0.00%
185 America First Investment Advisors, LLC 996 42,000 0.00%
186 Mercer Capital Advisers, Inc. 1,000 42,000 0.00%
187 FineMark National Bank & Trust 900 38,000 0.00%
188 Zurcher Kantonalbank (Zurich Cantonalbank) 823 35,000 0.00%
189 Johnson Financial Group, Inc. 800 34,000 0.00%
190 FIRST NATIONAL BANK SIOUX FALLS 600 25,000 0.00%
191 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 493 21,000 0.00%
192 KALOS MANAGEMENT, INC. 19,171 19,000 0.00% PRN
193 LOOMIS SAYLES & CO L P 424 18,000 0.00%
194 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 424 18,000 0.00%
195 WFG Advisors, LP 409 17,000 0.00%
196 Smithfield Trust Co 320 13,000 0.00%
197 Independent Portfolio Consultants, Inc. 280 12,000 0.00%
198 Evercore Wealth Management, LLC 296 12,000 0.00%
199 Alexandria Capital, LLC 212 9,000 0.00%
200 FEDERATED HERMES, INC. 200 8,000 0.00%
Page 4 of 5

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.