SEC Form 4 · accession 0000091142-16-000054
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
Feb 2, 2016
Accepted (ET)
Feb 3, 2016 · 5:25 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 | Feb 2, 2015 | M | 17,000 | $21.558 | A | 100,978 | D | |
| Common Stock | Feb 2, 2015 | M | 18,000 | $22.985 | A | 118,978 | D | |
| Common Stock | Feb 2, 2015 | F | 21,584 | $68.855 | D | 97,394 | D | |
| Common Stock | Feb 3, 2015 | S | 10,122 | $68.4562 | D | 87,272 | D | |
| Common Stock | Feb 3, 2015 | S | 3,294 | $67.8328 | 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)F1 | $21.558 | Feb 2, 2016 | M | 17,000 | D | — | Feb 7, 2021 | Common Stock | 17,000 | 51,180 | D |
| Employee Stock Options (Right to Buy)F2 | $22.985 | Feb 2, 2016 | M | 18,000 | D | — | Feb 13, 2022 | Common Stock | 18,000 | 33,180 | D |
Explanation of responses
- F1The employee stock options were 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.
- F2The employee stock options were granted on 02/13/2012 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 02/13/2013.