SEC Form 4 · accession 0000091142-15-000039
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
Aug 3, 2015
Accepted (ET)
Aug 4, 2015 · 4:23 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 Stock | Aug 3, 2015 | M | 119,800 | $22.985 | A | 320,884 | D | |
| Common Stock | Aug 3, 2015 | F | 76,721 | $71.63 | D | 244,163 | D | |
| Common Stock | Aug 4, 2015 | S | 43,079 | $71.9671 | D | 201,084 | 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)F1 | $22.985 | Aug 3, 2015 | M | 119,800 | D | — | Feb 13, 2022 | Common Stock | 119,800 | 140,850 | D |
Explanation of responses
- F1The employee stock options were granted on 02/13/2012 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 02/13/2013.