FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/12/2009 |
3. Issuer Name and Ticker or Trading Symbol
AVISTA CORP [ AVA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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 | 1,547 | D | |
Common Stock held in 401(k) Investment Plan | 4,024 | I | by Trustee |
Common Stock held in Executive Deferral Plan | 944 | I | by Trustee |
Common Stock held in Custodial Account for Grandson | 36 | I | by Grandson Zachary Brown |
Common Stock held in Custodial Account for Niece | 56 | I | by Niece Meagan Cuthill |
Common Stock held in Custodial Account for Niece | 36 | I | by Niece Katherine Cuthill |
Common Stock held in Custodial Account for Niece | 12 | I | by Niece McIntyre Cuthill |
Common Stock held in Custodial Account for Granddaughter | 22 | I | by Granddaughter McKenzie Brown |
Common Stock held in Custodial Account for Grandson | 13 | I | by Grandson Colton Materne |
Common Stock held in Custodial Account for Granddaughter | 6 | I | by Granddaughter Avery Materne |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
2000 Stock Option Grant | 11/09/2004(1) | 11/09/2010 | Common Stock | 2,400 | 22.54 | D | |
2001 Stock Option Grant | 11/08/2005(1) | 11/08/2011 | Common Stock | 5,200 | 11.8 | D | |
2002 Stock Option Grant | 11/07/2006(1) | 11/07/2012 | Common Stock | 2,700 | 10.17 | D | |
2007 Performance Share Grant | (2) | (2) | Common Stock | 370 | (3) | D | |
2008 Performance Share Grant | (2) | (2) | Common Stock | 800 | (3) | D | |
2009 Performance Share Grant | (2) | (2) | Common Stock | 800 | (3) | D |
Explanation of Responses: |
1. Grant vests 25% each year beginning one year following date of grant. Grant is 100% vested four years following date of grant. |
2. Each performance cycle is three years in length. Shares will be issued at the end of each three-year cycle if performance is met. |
3. No conversion price. Shares awarded if performance measure is met. |
/s/ Diane C. Thoren | 06/19/2009 | |
** 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 Number. |