SEC Form 4 · accession 0000091142-16-000067
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 8, 2016
Accepted (ET)
Feb 10, 2016 · 4:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091142
Table I — non-derivative securities
No Table I lines on this filing.
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 | $63.34 | Feb 8, 2016 | A | 11,520 | A | — | Feb 8, 2026 | Common Stock | 11,520 | 44,700 | D |
| Restricted Stock UnitsF2 | $63.34 | Feb 8, 2016 | A | 2,865 | A | — | — | Common Stock | 2,865 | 13,780 | D |
Explanation of responses
- F1The employee stock options were granted on 02/08/2016 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exercisable in three annual installments of 1/3 of the award starting on 02/08/2017.
- F2The restricted stock units were granted on 02/08/2016 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The restricted stock units become payable in Common Stock on the vesting date of 02/08/2019.