SEC Form 4 · accession 0000091142-15-000045
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia K Ackerman
Officer — VP, Investor Relations & Treas
Period of report
Nov 30, 2015
Accepted (ET)
Nov 30, 2015 · 5:07 pm 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 Stock | Nov 30, 2015 | M | 1,067 | $22.985 | A | 1,915 | D | |
| Common Stock | Nov 30, 2015 | M | 2,267 | $34.923 | A | 4,182 | D | |
| Common Stock | Nov 30, 2015 | S | 3,334 | $80.6855 | D | 848 | 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 | Nov 30, 2015 | M | 1,067 | D | — | Feb 13, 2022 | Common Stock | 1,067 | 9,320 | D |
| Employee Stock Options (Right to BuyF2 | $34.923 | Nov 30, 2015 | M | 2,267 | D | — | Feb 11, 2023 | Common Stock | 2,267 | 7,053 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 8,394 | D |
Explanation of responses
- F1The employee stock options wre granted on 02/13/2012 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exerciable in three annual installments of 1/3 of the award starting on 02/13/2013.
- F2The employee stock options wre granted on 02/11/2013 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exerciable in three annual installments of 1/3 of the award starting on 02/11/2014.
- F3The Restricted Stock Units that Patricia K. Ackerman has deferred receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 42 Restricted Stock Units.