SEC Form 4 · accession 0000091142-16-000098
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
May 2, 2016
Accepted (ET)
May 3, 2016 · 3:25 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 Stock | May 2, 2016 | M | 1,533 | $34.923 | A | 6,182 | D | |
| Common Stock | May 2, 2016 | M | 2,000 | $46.47 | A | 8,182 | D | |
| Common Stock | May 2, 2016 | S | 3,533 | $78.1251 | D | 4,649 | D | |
| Common Stock | May 2, 2016 | S | 4,649 | $78.1889 | D | 0 | 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 | $34.923 | May 2, 2016 | M | 1,533 | D | — | Feb 11, 2023 | Common Stock | 1,533 | 21,660 | D |
| Employee Stock Options (Right to Buy)F2 | $46.47 | May 2, 2016 | M | 2,000 | D | — | Feb 10, 2024 | Common Stock | 2,000 | 19,660 | D |
Explanation of responses
- F1The employee stock options were granted on 02/11/2013 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exerciable in three annual installments of 1/3 of the award starting on 02/11/2014.
- F2The employee stock options were granted on 02/10/2014 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exerciable in three annual installments of 1/3 of the award starting on 02/10/2015.