SEC Form 4 · accession 0000091142-15-000046
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Stern
Officer — Exec VP, General Counsel & Sec
Period of report
Nov 30, 2015
Accepted (ET)
Dec 1, 2015 · 3:00 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 StockF1 | Oct 26, 2015 | G | 1,880 | $0.00 | D | 76,685 | D | |
| Common StockF1 | Nov 2, 2015 | G | 30 | $0.00 | D | 76,655 | D | |
| Common StockF1 | Nov 9, 2015 | G | 195 | $0.00 | D | 76,460 | D | |
| Common Stock | Nov 30, 2015 | M | 27,900 | $13.965 | A | 104,360 | D | |
| Common Stock | Nov 30, 2015 | F | 16,282 | $80.365 | D | 88,078 | D | |
| Common Stock | Nov 30, 2015 | S | 4,100 | $80.3935 | D | 83,978 | 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)F2 | $13.965 | Nov 30, 2015 | M | 27,900 | D | — | Feb 8, 2020 | Common Stock | 27,900 | 68,180 | D |
Explanation of responses
- F1Gift
- F2The employee stock options were granted on 02/08/2010 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 02/08/2011.