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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4)
SOUTHWEST WATER COMPANY
(Name of Issuer)
Common Stock, $0.01 par value
(Title of Class of Securities)
845331-10
(CUSIP Number)
Check the following box if a fee is being paid with this statement [ ]. (A
fee is not required only if the filing person: (1) has a previous statement on
file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d.7.)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities ,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
(Continued on following page(s))
Page 1 of 4 Pages
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Page 2 of 4
CUSIP NO. 845331-10
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1) Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
ANTON C. GARNIER
S.S. No. ###-##-####
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2) Check The Appropriate Box If A Member Of A Group*
Not Applicable (a) [_]
(b) [_]
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3) SEC use only
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4) Citizenship or Place of Organization
CALIFORNIA
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5 Sole Voting Power
NUMBER OF 13,942
SHARES -----------------------------------------------------------
6 Shared Voting Power
BENEFICIALLY 247,698 (See Appendix A on Page 4)
OWNED BY -----------------------------------------------------------
7 Sole Dispositive Power
REPORTING 13,942
PERSON -----------------------------------------------------------
8 Shared Dispositive Power
WITH 247,698 (See Appendix A on Page 4)
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9) Aggregate Amount Beneficially Owned By Each Reporting Person
261,640
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10) Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares*
Not Applicable
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11) Percent Of Class Represented By Amount In Row 9
8.4%
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12) Type Of Reporting Person*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
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Page 3 of 4
Item 1(a) Name of Issuer
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SOUTHWEST WATER COMPANY
Item 1(b) Address of Issuer's Principal Executive Office
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225 North Barranca Avenue, Suite 200, West Covina, California
91791-1605
Item 2(a) Name of Person Filing
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Anton C. Garnier
Item 2(b) Address of Principal Business Office, or residence
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225 North Barranca Avenue, Suite 200, West Covina, California
91791-1605
Item 2(c) Citizenship
-----------
California
Item 2(d) Title of Class of Securities
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Common Stock, $.01 par value
Item 2(e) CUSIP Number
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845331-10
Item 3 Not Applicable.
Item 4 Ownership
---------
(a) Amount Beneficially Owned:
See Item 9 of the cover pages attached hereto.
(b) Percent of Class:
See Item 11 of the cover pages attached hereto.
(c) See Items 5 through 8 of the cover pages attached hereto.
Item 5 Ownership of Five Percent or Less of a Class
--------------------------------------------
Not Applicable
Item 6 Ownership of More than Five Percent on Behalf of Another Person
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Not Applicable
Item 7 Identification and Classification of the Subsidiary Which Acquired
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the Security Being Reported on by the Parent Holding Company
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Not Applicable
Item 8 Identification and Classification of Members of the Group
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Not Applicable.
Item 9 Notice of Dissolution of Group
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Not Applicable.
Item 10 Certification
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Not Applicable.
SIGNATURE:
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After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete
and correct.
February 10, 1997 Anton C. Garnier
/s/Anton C. Garnier
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Page 4 of 4
Appendix A
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Mr. Garnier claims ownership of 53,138 shares owned by Mr. & Mrs. Garnier as
trustees of a revocable trust for their benefit. As a trustee, Mr. Garnier has
shared voting and investment power with respect to these shares.
Mr. Garnier is president and a director of two corporations which own a total of
194,560 shares of Southwest Water Company common stock and has shared voting and
investment power with respect to these shares. Mr. Garnier indicates that the
filing of this Schedule 13G is not an admission that he is, for purposes of
Section 16 of the Act or otherwise, the beneficial owner of the 194,560 shares,
other than 40,618 shares representing his proportionate interests in the two
corporations.
