SEC Form 4 · accession 0000091142-15-000025
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Smith
Director
Period of report
Apr 14, 2015
Accepted (ET)
Apr 16, 2015 · 1:52 pm EDT
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 | Apr 14, 2015 | A | 1,689 | $65.145 | A | 54,231 | D | |
| Common StockF2 | holding | — | — | — | 14,750 | I | In trust | |
| Common StockF3 | holding | — | — | — | 4,478 | I | Held by spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2,F4,F5,F6 | $0.00 | Feb 26, 2015 | G | 209 | A | — | — | Common Stock | 209 | 118,472 | I |
| Class A Common StockF2,F4,F5,F6 | $0.00 | Feb 26, 2015 | G | 444 | D | — | — | Common Stock | 444 | 118,208 | I |
| Class A Common StockF3,F4,F5,F6 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 1,838 | I |
Explanation of responses
- F1Payment of portion of retainer in stock under the A. O. Smith Corporation directors' compensation program based on the market price of the Common Stock on April 14, 2015.
- F2The reporting person beneficially owns the shares as settlor of a revocable family trust.
- F3Held by spouse.
- F41 for 1
- F5Convertible at any time to Common Stock.
- F6None.