SEC Form 4 · accession 0000091142-15-000040
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilfridus M Brouwer
Officer — President - AOSHBSRL
Period of report
Oct 27, 2015
Accepted (ET)
Oct 28, 2015 · 10:05 am 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 | Oct 27, 2015 | M | 11,000 | $22.985 | A | 26,685 | D | |
| Common Stock | Oct 27, 2015 | M | 4,933 | $34.923 | A | 31,618 | D | |
| Common Stock | Oct 27, 2015 | S | 15,933 | $73.3847 | D | 15,685 | 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 | Oct 27, 2015 | M | 11,000 | D | — | Feb 13, 2022 | Common Stock | 11,000 | 18,390 | D |
| Employee Stock Options (Right to Buy)F2 | $34.923 | Oct 27, 2015 | M | 4,933 | D | — | Feb 11, 2023 | Common Stock | 4,933 | 13,457 | 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 exercisable in three annual installments of 1/3 of the award starting on 02/13/2013.
- F2The employee stock options were granted on 02/11/2013 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/11/2014.