SEC Form 4 · accession 0000091142-16-000097
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Heideman
Officer — Senior VP & Chief Tech Officer
Period of report
Apr 29, 2016
Accepted (ET)
May 2, 2016 · 10:48 am 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 Stock | Apr 29, 2016 | M | 12,000 | $22.985 | A | 23,806 | D | |
| Common Stock | Apr 29, 2016 | S | 12,000 | $76.9349 | D | 11,806 | 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 | $22.985 | Apr 29, 2016 | M | 12,000 | D | — | Feb 13, 2022 | Common Stock | 12,000 | 31,910 | D |
Explanation of responses
- F1The 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 become exercisable in three annual installments of 1/3 of the award starting on 02/13/2013.