SEC Form 4 · accession 0000091142-15-000042
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Mark A Petrarca
Officer — Senior Vice Pres. - H.R. & P.A
Period of report
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 3:25 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 | Oct 29, 2015 | M | 10,385 | $22.985 | A | 52,900 | D | |
| Common Stock | Oct 29, 2015 | S | 10,385 | $76.4439 | D | 42,515 | D | |
| Common Stock | Oct 30, 2015 | M | 3,615 | $22.985 | A | 46,130 | D | |
| Common Stock | Oct 30, 2015 | S | 3,615 | $76.4922 | D | 42,515 | 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 29, 2015 | M | 10,385 | D | — | Feb 13, 2022 | Common Stock | 10,385 | 30,325 | D |
| Employee Stock Options (Right to Buy)F1 | $22.985 | Oct 30, 2015 | M | 3,615 | D | — | Feb 13, 2022 | Common Stock | 3,615 | 26,710 | 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.