FORM 4 |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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OMB APPROVAL |
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Check this box if no longer |
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OMB Number: 3235-0287 |
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subject to Section 16. Form 4 |
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Expires: January 31, 2005 |
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or Form 5 obligations may continue. |
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STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |
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Estimated average burden |
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See instruction 1(b). |
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hours per response. . . . 0.5 |
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility |
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Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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(Print or Type Responses) |
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1. Name and Address of Reporting Person* |
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2. Issuer Name and Ticker or Trading Symbol |
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6. Relationship of Reporting Person(s) to Issuer |
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(Check all applicable) |
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Avista Corporation (AVA) |
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Director |
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10% Owner |
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Morris |
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Scott |
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L. |
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Officer (give |
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Other (specify |
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(Last) |
(First) |
(Middle) |
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3. I.R.S. Identification |
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4. Statement for |
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title below) |
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below) |
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Number of Reporting |
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Month/Day/Year |
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1411 E. Mission Avenue |
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Person, if an entity |
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Senior Vice President |
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(Street) |
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(Voluntary) |
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February 6, 2003 |
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5. If Amendment, Date |
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7. Individual or Joint/Group Filing (Check Appplicable Line) |
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of Original (Month/Year) |
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__x__Form filed by One Reporting Person |
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Spokane |
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WA |
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99202 |
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February 10, 2003 |
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_____Form filed by More than One Reporting Person |
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(City) |
(State) |
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(Zip) |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1. Title of Security |
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2. Trans- |
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3. Trans- |
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4. Securities Acquired (A) |
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5. Amount of |
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6. Ownership |
7. Nature of Indirect |
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(Instr. 3) |
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action |
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action |
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or Disposed of (D) |
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Securities |
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Form: |
Beneficial |
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Date |
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Code |
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(Instr. 3, 4 and 5) |
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Beneficially |
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Direct (D) |
Ownership |
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(Instr. 8) |
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Owned at |
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or |
(Instr. 4) |
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(Month/ |
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End of Month |
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Indirect (I) |
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Day/ |
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(A) or |
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(Instr. 3 and 4) |
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(Instr. 4) |
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Year) |
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Code |
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Amount |
(D) |
Price |
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Common Stock |
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236 |
D |
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Common Stock (401(k) Investment Plan Shares) |
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5,572 |
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By Trustee |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
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(Over) |
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*If the form is filed by more than one reporting person, see Instruction 4(b) (v). |
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SEC 1474 (9-02) |
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Potential persons who are to respond to the collection of |
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information contained in this form are not required to respond |
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unless the form displays a currently valid OMB control number. |
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FORM 4 (continued) |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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(e.g., puts, calls, warrants, options, convertible securities) |
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1. Title of Derivative Security |
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2. Conver- |
3. Trans- |
4. Trans- |
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5. Number of Deriv- |
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6. Date Exer- |
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7. Title and Amount of |
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8. Price |
9. Number |
10. Owner- |
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11. Nature |
(Instr. 3) |
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sion or |
action |
action |
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ative Securities Ac- |
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cisable and |
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Underlying Securities |
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of |
of Deriv- |
ship |
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of |
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Exercise |
Date |
Code |
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quired (A) or Dis- |
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Expiration |
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(Instr. 3 and 4) |
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Deriv- |
ative |
Form of |
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Indirect |
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Price of |
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(Instr. 8) |
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posed of (D) |
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Date |
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ative |
Secur- |
Deriv- |
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Benefi- |
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Deri- |
(Month/ |
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(Instr. 3, 4, and 5) |
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(Month/Day/ |
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Secur- |
ities |
ative |
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cial |
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vative |
Day/ |
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Year) |
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ity |
Bene- |
Security: |
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Owner- |
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Security |
Year) |
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(Instr. |
ficially |
Direct |
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ship |
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5) |
Owned |
(D) or |
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(Instr.4) |
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at End |
Indirect |
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of Month |
(I) |
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Date |
Expira- |
Title |
Amount or |
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(Instr. 4) |
(Instr. 4) |
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Exer- |
tion |
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Number of |
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Code |
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(A) |
(D) |
cisable |
Date |
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Shares |
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Performance Shares |
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02-06-03 |
A |
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15,500 |
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* |
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Com. Stk. |
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15,500 |
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15,500 |
D |
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Explanation of Responses: |
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* |
Each performance cycle is three years in length, shares will be issued at the end of each three-year cycle if performance measure is met. |
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February 10, 2003 |
*** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. |
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***Signature of Reporting Person |
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See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, |
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see Instruction 6 for procedure. |
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Potential persons who are to respond to the collection of information contained in this form are not |
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Page 2 |
required to respond unless the form displays a currently valid OMB Number. |
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FORM 4 |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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|
OMB APPROVAL |
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Check this box if no longer |
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OMB Number: 3235-0287 |
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subject to Section 16. Form 4 |
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Expires: January 31, 2005 |
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or Form 5 obligations may continue. |
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STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |
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|
|
Estimated average burden |
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|
See instruction 1(b). |
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hours per response. . . . 0.5 |
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility |
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Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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(Print or Type Responses) |
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1. Name and Address of Reporting Person* |
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2. Issuer Name and Ticker or Trading Symbol |
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6. Relationship of Reporting Person(s) to Issuer |
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(Check all applicable) |
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Avista Corporation (AVA) |
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Director |
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10% Owner |
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Morris |
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Scott |
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L. |
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x |
Officer (give |
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Other (specify |
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(Last) |
(First) |
(Middle) |
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3. I.R.S. Identification |
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4. Statement for |
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title below) |
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below) |
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Number of Reporting |
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Month/Day/Year |
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1411 E. Mission Avenue |
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Person, if an entity |
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Senior Vice President |
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(Street) |
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(Voluntary) |
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February 6, 2003 |
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5. If Amendment, Date |
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7. Individual or Joint/Group Filing (Check Appplicable Line) |
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of Original (Month/Year) |
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|
__x__Form filed by One Reporting Person |
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|
Spokane |
|
WA |
|
99202 |
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February 10, 2003 |
|
_____Form filed by More than One Reporting Person |
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(City) |
(State) |
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(Zip) |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1. Title of Security |
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2. Trans- |
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3. Trans- |
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4. Securities Acquired (A) |
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5. Amount of |
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6. Ownership |
7. Nature of Indirect |
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(Instr. 3) |
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action |
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action |
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or Disposed of (D) |
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Securities |
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Form: |
Beneficial |
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Date |
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Code |
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(Instr. 3, 4 and 5) |
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Beneficially |
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Direct (D) |
Ownership |
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(Instr. 8) |
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Owned at |
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or |
(Instr. 4) |
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(Month/ |
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End of Month |
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Indirect (I) |
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Day/ |
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(A) or |
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(Instr. 3 and 4) |
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(Instr. 4) |
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Year) |
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Code |
V |
Amount |
(D) |
Price |
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Common Stock |
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236 |
D |
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Common Stock (401(k) Investment Plan Shares) |
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5,572 |
I |
By Trustee |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
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(Over) |
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*If the form is filed by more than one reporting person, see Instruction 4(b) (v). |
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SEC 1474 (9-02) |
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Potential persons who are to respond to the collection of |
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information contained in this form are not required to respond |
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unless the form displays a currently valid OMB control number. |
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FORM 4 (continued) |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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(e.g., puts, calls, warrants, options, convertible securities) |
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1. Title of Derivative Security |
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2. Conver- |
3. Trans- |
4. Trans- |
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5. Number of Deriv- |
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6. Date Exer- |
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7. Title and Amount of |
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8. Price |
9. Number |
10. Owner- |
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11. Nature |
(Instr. 3) |
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sion or |
action |
action |
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ative Securities Ac- |
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cisable and |
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Underlying Securities |
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of |
of Deriv- |
ship |
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of |
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Exercise |
Date |
Code |
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quired (A) or Dis- |
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Expiration |
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(Instr. 3 and 4) |
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Deriv- |
ative |
Form of |
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Indirect |
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Price of |
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(Instr. 8) |
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posed of (D) |
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Date |
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ative |
Secur- |
Deriv- |
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Benefi- |
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Deri- |
(Month/ |
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(Instr. 3, 4, and 5) |
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(Month/Day/ |
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Secur- |
ities |
ative |
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cial |
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vative |
Day/ |
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Year) |
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ity |
Bene- |
Security: |
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Owner- |
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Security |
Year) |
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(Instr. |
ficially |
Direct |
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ship |
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5) |
Owned |
(D) or |
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(Instr.4) |
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at End |
Indirect |
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of Month |
(I) |
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Date |
Expira- |
Title |
Amount or |
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(Instr. 4) |
(Instr. 4) |
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Exer- |
tion |
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Number of |
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Code |
V |
(A) |
(D) |
cisable |
Date |
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Shares |
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Performance Shares |
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02-06-03 |
A |
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15,500 |
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* |
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Com. Stk. |
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15,500 |
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15,500 |
D |
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Explanation of Responses: |
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* |
Each performance cycle is three years in length, shares will be issued at the end of each three-year cycle if performance measure is met. |
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February 10, 2003 |
*** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. |
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***Signature of Reporting Person |
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Date |
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See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, |
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see Instruction 6 for procedure. |
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Potential persons who are to respond to the collection of information contained in this form are not |
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Page 2 |
required to respond unless the form displays a currently valid OMB Number. |
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