SEC Form 4 · accession 0000091142-15-000048
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Heideman
Officer — Senior VP Engineering & Tech.
Period of report
Dec 1, 2015
Accepted (ET)
Dec 2, 2015 · 1:23 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 | Dec 1, 2015 | M | 8,000 | $21.558 | D | 18,621 | D | |
| Common Stock | Dec 1, 2015 | F | 4,784 | $80.08 | D | 13,837 | D | |
| Common Stock | Dec 2, 2015 | S | 3,216 | $80.2976 | D | 10,261 | 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 | $21.558 | Dec 1, 2015 | M | 8,000 | D | — | Feb 7, 2021 | Common Stock | 8,000 | 34,800 | D |
Explanation of responses
- F1The employee stock options wre granted on 02/07/2011 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 02/07/2012.