SEC Form 4 · accession 0000091142-15-000049
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wei Ding
Officer — Pres.AOSCIC; Manager AOSCWHC
Period of report
Dec 11, 2015
Accepted (ET)
Dec 11, 2015 · 5:08 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 | Dec 10, 2015 | M | 5,000 | $77.875 | A | 5,000 | D | |
| Common StockF2 | Dec 11, 2015 | S | 1,375 | $77.5796 | D | 3,625 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $77.875 | Feb 10, 2015 | M | 5,000 | D | — | — | Common Stock | 5,000 | 6,105 | D |
Explanation of responses
- F15,000 Restricted Stock Units were granted on 12/10/2012, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 5,000 Restricted Stock Units vested on 12/10/2015. As of result of vesting, the Company is obligated to deliver 5,000 shares of Common Stock to the reporting person.
- F2The reporting person sold these shares to obtain funds to pay the withholding taxes due as a result of the vesting of the restricted stock units described in footnote (1).