SEC Form 4 · accession 0000091142-16-000093
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce M Smith
Director
Period of report
Apr 11, 2016
Accepted (ET)
Apr 12, 2016 · 3:36 pm EDT
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 | holding | — | — | — | 7,946 | D | ||
| Common StockF2 | holding | — | — | — | 1,200 | I | In trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F5,F4 | $76.895 | Apr 11, 2016 | A | 1,561 | A | — | — | Common Stock | 1,561 | 56,878 | D |
| Class A Common StockF2,F6,F7,F8 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 226,982 | I |
Explanation of responses
- F1Shares deferred under the A. O. Smith Nonqualified Deferred Compensation Plan.
- F2The reporting person beneficially owns these shares as settlor of a revocable family trust.
- F3Payment of retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the market price of the Common Stock on April 11, 2016.
- F4The Plan permits the participant to defer receipt of the award, and Mr. Smith has made a deferral.
- F5The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 482 units of Restricted Stock Units.
- F61 for 1.
- F7Convertible at any time into Common Stock.
- F8None.