SEC Form 4 · accession 0000091142-15-000002
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul W Jones
Director
Period of report
Feb 9, 2015
Accepted (ET)
Feb 11, 2015 · 11:50 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091142
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 25, 2014 | G | 20,000 | — | D | 174,428 | D | |
| Common Stock | Feb 9, 2015 | M | 120,000 | $21.558 | A | 294,428 | D | |
| Common Stock | Feb 9, 2015 | F | 80,710 | $61.53 | D | 213,718 | D | |
| Common Stock | Feb 10, 2015 | S | 39,290 | $61.4346 | D | 174,428 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F2 | $21.558 | Feb 9, 2015 | M | 120,000 | D | — | Feb 7, 2021 | Common Stock | 120,000 | 260,650 | D |
Explanation of responses
- F1Gift
- F2The employee stock options were granted on 02/07/2011 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exerciable in three annual installments of 1/3 of the award starting on 02/07/2012.