SEC Form 4 · accession 0000091142-15-000047
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Kita
Officer — Executive Vice President & CFO
Period of report
Nov 30, 2015
Accepted (ET)
Dec 1, 2015 · 4:02 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 27, 2015 | G | 135 | $0.00 | D | 44,223 | D | |
| Common Stock | Nov 30, 2015 | M | 15,000 | $22.985 | A | 59,223 | D | |
| Common Stock | Nov 30, 2015 | F | 9,603 | $80.365 | D | 49,620 | D | |
| Common Stock | Dec 1, 2015 | S | 5,397 | $80.1542 | D | 44,223 | 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 | $22.985 | Nov 30, 2015 | M | 15,000 | D | — | Feb 13, 2022 | Common Stock | 15,000 | 58,615 | D |
Explanation of responses
- F1Gift
- F2The 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.